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.
C••• K•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 9, 2023 · St. Petersburg, Fl
- E•••••••• A•••••••• L•• national BDMar 31, 2023 to Apr 14, 2023 · Tampa, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedOct 13, 2014 to Mar 4, 2019 · Tampa, Fl
- E•••••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 14, 2023, registered May 9, 2023 (25 days) · Affiliated broker-dealer or bank to another
- T• R••• P•••• A••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Mar 4, 2019, registered Mar 31, 2023 (1488 days) · RIA to affiliated broker-dealer or bank
- C••• K••••• left E•••••••• A•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-05-09)Apr 14, 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address