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•••• W•••••• N••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Dec 8, 2022 · Saint Petersburg, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 21, 2017 to Nov 21, 2022 · Tampa, Fl
- L•• F•••••••• L•• BD affiliatedApr 22, 2013 to Oct 23, 2017 · Tampa, Fl
- C•••••• S••••• • C••• I••• national BDJan 3, 2013 to Apr 17, 2013 · Orlando, Fl
- J•• C•••••• A•••••••• L•• formerApr 7, 2010 to Jul 19, 2012 · Dubuque, Ia
- C••••••• A•••• M••••••••• I•• unclassifiedAug 15, 2008 to Oct 30, 2009 · Tampa, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 12, 2004 to Jun 13, 2008 · Tampa, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 13, 2004 to Sep 30, 2004 · St. Petersburg, Fl
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 21, 2022, registered Dec 8, 2022 (17 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 23, 2017, registered Nov 21, 2017 (29 days) · Other
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Apr 17, 2013, registered Apr 22, 2013 (5 days) · Other
- J•• C•••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Jul 19, 2012, registered Jan 3, 2013 (168 days) · Other
- C••••••• A•••• M••••••••• I•• to J•• C•••••• A•••••••• L••left Oct 30, 2009, registered Apr 7, 2010 (159 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• A•••• M••••••••• I••left Jun 13, 2008, registered Aug 15, 2008 (63 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 30, 2004, registered Oct 12, 2004 (12 days) · Other
- S•••• W•••••• N•••••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-12-08)Nov 21, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address