RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M•••••• P• B••••
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliated currentsince Mar 7, 2019 · Tampa, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 24, 2015 to Jan 18, 2019 · Tampa, Fl
- I••••••••• C•••••• O• A••••••• I••• formerOct 30, 2012 to Sep 21, 2015 · Tampa, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJul 28, 2004 to Oct 5, 2012 · Tampa, Fl
- U•• F•••••••• S••••••• I••• wirehouseJul 17, 2000 to Oct 10, 2002 · Tampa, Fl
- C••••• I••••••••• A••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Jan 18, 2019, registered Mar 7, 2019 (48 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• C•••••• O• A••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 21, 2015, registered Sep 24, 2015 (3 days) · Other · moved with a team
- T• R••• P•••• A••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Oct 5, 2012, registered Oct 30, 2012 (25 days) · Other
- U•• F•••••••• S••••••• I••• to T• R••• P•••• A••••••• S•••••••• I•••left Oct 10, 2002, registered Jul 28, 2004 (657 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address