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.
D••••• S•••• F••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jul 8, 2021 · Orlando, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 17, 2020 to May 27, 2021 · Saint Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BDDec 3, 2018 to Dec 31, 2019 · St. Petersburg, Fl
- M••••• S•••••• wirehouseSep 13, 2018 to Nov 26, 2018 · Tampa, Fl
- O•••• F•• I••• formerMay 12, 2008 to Dec 1, 2008 · Orlando, Fl
- W•••••• • R••• formerJul 17, 2007 to Dec 19, 2007 · Maitland, Fl
- C••••••••• C•••••• S••••••••• I••• independent RIAJun 20, 2006 to Jun 1, 2007 · Fort Atkinson, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T••••• A••••••• S•••••••• I•••left May 27, 2021, registered Jul 8, 2021 (42 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2019, registered Jan 17, 2020 (17 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Nov 26, 2018, registered Dec 3, 2018 (7 days) · Wirehouse to affiliated broker-dealer or bank
- O•••• F•• I••• to M••••• S••••••left Dec 1, 2008, registered Sep 13, 2018 (3573 days) · Other
- W•••••• • R••• to O•••• F•• I•••left Dec 19, 2007, registered May 12, 2008 (145 days) · Other
- C••••••••• C•••••• S••••••••• I••• to W•••••• • R•••left Jun 1, 2007, registered Jul 17, 2007 (46 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address