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.
M•••••• S• H••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 3, 2023 · Palm Harbor, Fl
- M••••• S•••••• wirehouseAug 19, 2018 to Jul 8, 2021 · Tampa, Fl
- H• B•••• I••• formerAug 14, 2014 to Jul 27, 2018 · Rockville, Md
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 11, 2009 to Apr 17, 2013 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 16, 2007 to Oct 10, 2009 · St Petersburg, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 15, 2004 to Aug 1, 2006 · St. Petersburg, Fl
- M••••• S•••••• to C••••• I••••••••• A••••••• L••left Jul 8, 2021, registered Apr 3, 2023 (634 days) · Wirehouse to affiliated broker-dealer or bank
- H• B•••• I••• to M••••• S••••••left Jul 27, 2018, registered Aug 19, 2018 (23 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to H• B•••• I•••left Apr 17, 2013, registered Aug 14, 2014 (484 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 10, 2009, registered Mar 11, 2009 (-213 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Aug 1, 2006, registered Apr 16, 2007 (258 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address