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.
R•••••• M•••••• W•••••
- O•••• I••••••••• I••• BD affiliated currentsince Aug 13, 2020 · Plant City, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDOct 17, 2018 to Aug 5, 2020 · Dade City, Fl
- O•••• I••••••••• I••• BD affiliatedFeb 28, 2014 to Oct 17, 2018 · Dade City, Fl
- L•• F•••••••• L•• BD affiliatedFeb 5, 2008 to Mar 12, 2014 · St. Cloud, Fl
- O•••• I••••••••• I••• BD affiliatedDec 2, 2004 to Jan 29, 2008 · Zephyrhills, Fl
- M•••• C••••••• A••••••• S•••••• BD affiliatedMay 14, 2004 to Dec 1, 2004 · Zephyrhills, Fl
- S••••••• I••••••••• S•••••••• I••• formerJan 10, 2000 to Apr 30, 2004 · Zephyrhills, Fl
- A••••••••• F•••••••• S•••••••• L•• to O•••• I••••••••• I•••left Aug 5, 2020, registered Aug 13, 2020 (8 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 17, 2018, registered Oct 17, 2018 (0 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Mar 12, 2014, registered Feb 28, 2014 (-12 days) · Other
- O•••• I••••••••• I••• to L•• F•••••••• L••left Jan 29, 2008, registered Feb 5, 2008 (7 days) · Other
- M•••• C••••••• A••••••• S•••••• to O•••• I••••••••• I•••left Dec 1, 2004, registered Dec 2, 2004 (1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M•••• C••••••• A••••••• S••••••left Apr 30, 2004, registered May 14, 2004 (14 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address