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•••• R••••• B•••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Dec 22, 2014 · Largo, Fl
- P•• W••••• M••••••••• BD affiliatedDec 11, 2012 to Dec 3, 2014 · Tampa, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 27, 2012 · St. Petersburg, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 20, 2009 to Jun 1, 2009 · St. Petersburg, Fl
- S••••••• I••••••••• S•••••••• I••• formerDec 9, 2003 to Apr 13, 2009 · Palm Harbor, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedOct 13, 2003 to Nov 25, 2003 · St. Petersburg, Fl
- A•••••• I••••••••• S•••••••• I••• unclassifiedJan 31, 2003 to Sep 25, 2003 · St. Petersburg, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 15, 1999 to Jul 31, 2002 · St. Petersburg, Fl
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left Dec 3, 2014, registered Dec 22, 2014 (19 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Nov 27, 2012, registered Dec 11, 2012 (14 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to M••••• S•••••• • C•• L••left Apr 13, 2009, registered Apr 20, 2009 (7 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to S••••••• I••••••••• S•••••••• I•••left Nov 25, 2003, registered Dec 9, 2003 (14 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Sep 25, 2003, registered Oct 13, 2003 (18 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• I••••••••• S•••••••• I•••left Jul 31, 2002, registered Jan 31, 2003 (184 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address