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•••••• E••••• R•••••
- A••••••••• I••••••••• A••••••• mixed wealth currentsince Dec 1, 2022 · Tampa, Fl
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jul 6, 2021 · Plantation, Fl
- F•••••• 3•• G•••• L•• formerMar 23, 2016 to Feb 24, 2023 · Plantation, Fl
- I••••••••• A••••••• S••••••• I•• formerNov 14, 2014 to Jul 17, 2020 · Fort Lauderdale, Fl
- K•• F•••••••• S•••••••• I•• formerApr 25, 2005 to Oct 27, 2014 · University Place, Wa
- 1••• C•••••• M••••••••• C•••••• unclassifiedJul 12, 2004 to May 3, 2005 · Tacoma, Wa
- S••••••• F•••••••• G••••• I••• unclassifiedAug 4, 2003 to Jun 17, 2004 · Renton, Wa
- P•• A•••• M••••••••• I•• unclassifiedFeb 6, 2003 to Sep 17, 2003 · Gig Harbor, Wa
- F•••••• 3•• G•••• L•• to S••••••••• A•••••• A•••••••• I•••left Feb 24, 2023, registered Jul 17, 2020 (-952 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S••••••••• A•••••• A•••••••• I••• to A••••••••• I••••••••• A•••••••left Jul 6, 2021, registered Dec 1, 2022 (513 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- I••••••••• A••••••• S••••••• I•• to F•••••• 3•• G•••• L••left Jul 17, 2020, registered Mar 23, 2016 (-1577 days) · Affiliated broker-dealer or bank to independent RIA
- K•• F•••••••• S•••••••• I•• to I••••••••• A••••••• S••••••• I••left Oct 27, 2014, registered Nov 14, 2014 (18 days) · Other
- 1••• C•••••• M••••••••• C•••••• to K•• F•••••••• S•••••••• I••left May 3, 2005, registered Apr 25, 2005 (-8 days) · Other
- S••••••• F•••••••• G••••• I••• to 1••• C•••••• M••••••••• C••••••left Jun 17, 2004, registered Jul 12, 2004 (25 days) · Other
- P•• A•••• M••••••••• I•• to S••••••• F•••••••• G••••• I•••left Sep 17, 2003, registered Aug 4, 2003 (-44 days) · Other
- S•••••• E••••• R••••• left F•••••• 3•• G•••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2020-07-17)Feb 24, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address