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.
T•••• L•• K•••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Feb 24, 2021 · Tampa, Fl
- S••••• A••• A•••• M••••••••• I••• formerMay 18, 2011 to Jul 1, 2011 · Melbourne, Fl
- N••••• F•••••••• S•••••••• I••• unclassifiedMay 28, 2009 to Jun 2, 2010 · Birmingham, Al
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 6, 2008 to Nov 17, 2008 · Minneapolis, Mn
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedNov 3, 2005 to Feb 6, 2008 · St. Petersburg, Fl
- S••••• A••• A•••• M••••••••• I••• to P•••••• A•••••• G••••• L••left Jul 1, 2011, registered Feb 24, 2021 (3526 days) · Other
- N••••• F•••••••• S•••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Jun 2, 2010, registered May 18, 2011 (350 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N••••• F•••••••• S•••••••• I•••left Nov 17, 2008, registered May 28, 2009 (192 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 6, 2008, registered Feb 6, 2008 (0 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