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.
S••••• L•••• M••••
- K•••••• O• C••••••• A•••• A••••••• L•• institutional currentsince Jun 30, 2021 · New Haven, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 5, 2016 to Sep 13, 2017 · Sun City Center, Fl
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJul 8, 2011 to Jul 16, 2013 · St Petersburg, Fl
- M•• F•••••••• S•••••••• I••• formerJan 12, 2010 to Aug 20, 2010 · Tampa, Fl
- 1••• C•••••• M••••••••• C•••••• unclassifiedJul 18, 2006 to May 28, 2008 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•••••• O• C••••••• A•••• A••••••• L••left Sep 13, 2017, registered Jun 30, 2021 (1386 days) · Other
- A••••••• F•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 16, 2013, registered May 5, 2016 (1024 days) · Other
- M•• F•••••••• S•••••••• I••• to A••••••• F•••••••• A•••••••• L••left Aug 20, 2010, registered Jul 8, 2011 (322 days) · Other
- 1••• C•••••• M••••••••• C•••••• to M•• F•••••••• S•••••••• I•••left May 28, 2008, registered Jan 12, 2010 (594 days) · Other
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
- Institutional managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address