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.
B•••••• A••• K•••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 1, 2022 · Clearwater, Fl
- S•••••• S••••••••• I••• BD affiliatedOct 24, 2016 to Nov 30, 2022 · Oldsmar, Fl
- F•••• T•••• S••••••••• I••• BD affiliatedAug 15, 2005 to Oct 31, 2016 · Lutz, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 22, 2003 to Mar 5, 2004 · Clearwater, Fl
- A•••••• I••••••••• S•••••••• I••• unclassifiedMar 24, 2003 to Jul 22, 2003 · Clearwater, Fl
- S••••••• I••••••••• S•••••••• I••• formerJul 14, 2000 to Oct 11, 2002 · St. Petersburg, Fl
- S•••••• S••••••••• I••• to W•••• F•••• A•••••••left Nov 30, 2022, registered Dec 1, 2022 (1 days) · RIA to wirehouse
- F•••• T•••• S••••••••• I••• to S•••••• S••••••••• I•••left Oct 31, 2016, registered Oct 24, 2016 (-7 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to F•••• T•••• S••••••••• I•••left Mar 5, 2004, registered Aug 15, 2005 (528 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 22, 2003, registered Jul 22, 2003 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• S•••••••• I•••left Oct 11, 2002, registered Mar 24, 2003 (164 days) · Other
- B•••••• A••• K••••••• left S•••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2022-12-01)Nov 30, 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address