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• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 9, 2022 · Tampa, Fl
- C•••••• A••••••• BD affiliatedSep 26, 2019 to Dec 8, 2022 · Tampa, Fl
- L•••••• I••••••••• independent RIAOct 20, 2005 to Dec 8, 2022 · Tampa, Fl
- C•••••• A••••••• to L•• F•••••••• L••left Dec 8, 2022, registered Dec 9, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•••••• I••••••••• to C•••••• A•••••••left Dec 8, 2022, registered Sep 26, 2019 (-1169 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R••••• C• C•••••• left C•••••• A••••••• for L•• F•••••••• L•• (registered 2022-12-09)Dec 8, 2022 · Advisor changed firm · fact
- R••••• C• C•••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2019-09-26)Dec 8, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address