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.
L•••• C•••••
- F••••••••• F•••••••• P•••••••• L••• independent RIA currentsince Nov 27, 2023 · Venice, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedNov 1, 2016 to Aug 11, 2023 · Tampa, Fl
- S••••••• I••••••••• S•••••••• I••• formerMar 21, 2014 to Dec 31, 2016 · Tampa, Fl
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAFeb 15, 2012 to Mar 14, 2014 · Tampa, Fl
- C••••• I••••••••• S••••••• L•• formerJun 10, 2010 to Feb 13, 2012 · Tampa, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 19, 1998 to Jul 27, 2004 · Tampa, Fl
- T••••• A••••••• S•••••••• I••• to F••••••••• F•••••••• P•••••••• L•••left Aug 11, 2023, registered Nov 27, 2023 (108 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Nov 1, 2016 (-60 days) · corporate re-registration, not a move
- H•••••• W•••••• I••••••••• S••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Mar 14, 2014, registered Mar 21, 2014 (7 days) · Other
- C••••• I••••••••• S••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Feb 13, 2012, registered Feb 15, 2012 (2 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••• I••••••••• S••••••• L••left Jul 27, 2004, registered Jun 10, 2010 (2144 days) · Other
- L•••• C••••• left T••••• A••••••• S•••••••• I••• for F••••••••• F•••••••• P•••••••• L••• (registered 2023-11-27)Aug 11, 2023 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address