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.
P••• S•••• G••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 29, 2019 · Clearwater, Fl
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Sep 6, 2019 · Clearwater, Fl
- 1••• C•••••• M••••••••• C•••••• unclassifiedJan 26, 2007 to Aug 1, 2008 · Clearwater, Fl
- 1••• C•••••• M••••••••• C•••••• unclassifiedJul 5, 2005 to Jan 9, 2006 · Dublin, Oh
- B••• O•• S••••••••• C••••••••• unclassifiedSep 24, 2002 to Oct 7, 2002 · Dublin, Oh
- N••••••••• S••••••••• L•• to L•• F•••••••• L••left Sep 6, 2019, registered Aug 29, 2019 (-8 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to 1••• C•••••• M••••••••• C••••••left Oct 7, 2002, registered Jul 5, 2005 (1002 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