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.
R••••• C••• W••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 14, 2022 · Clearwater, Fl
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 10, 2016 to Sep 6, 2022 · Clearwater, Fl
- N•• A•••••• S•••••••• L•• formerDec 11, 2015 to Sep 22, 2016 · Clearwater, Fl
- I••••••••• F•••••••• P••••••• BD affiliatedJul 15, 2009 to Dec 17, 2015 · Clearwater, Fl
- C••••• 1•• A••••••• G•••• formerJan 13, 2006 to Oct 14, 2008 · Clearwater, Fl
- K••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 6, 2022, registered Sep 14, 2022 (8 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered May 10, 2016 (-135 days) · corporate re-registration, not a move
- I••••••••• F•••••••• P••••••• to N•• A•••••• S•••••••• L••left Dec 17, 2015, registered Dec 11, 2015 (-6 days) · Other
- C••••• 1•• A••••••• G•••• to I••••••••• F•••••••• P•••••••left Oct 14, 2008, registered Jul 15, 2009 (274 days) · Other
- R••••• C••• W•••••• left K••••• A••••••• S•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-09-14)Sep 6, 2022 · a•••••• firm change · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address