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.
C••••••••• M• H•••••
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Sep 28, 2015 · Tampa, Fl
- I•• W••••• M••••••••• I••• BD affiliatedMay 30, 2013 to Sep 18, 2015 · B••••••• Bluffs, Fl
- B••••••• A•••• M••••••••• I•• unclassifiedNov 17, 2009 to Sep 26, 2013 · B••••••• Bluffs, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 13, 2009 · Tampa, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Tampa, Fl
- M••••• S•••••• D• I••• unclassifiedJul 23, 2004 to Apr 2, 2007 · Tampa, Fl
- A••••••••• A•••••• S•••••••• I••• unclassifiedNov 10, 2003 to Jul 27, 2004 · Tampa, Fl
- I•• W••••• M••••••••• I••• to V••• F•••••••• A•••••••• I•••left Sep 18, 2015, registered Sep 28, 2015 (10 days) · Other
- B••••••• A•••• M••••••••• I•• to I•• W••••• M••••••••• I•••left Sep 26, 2013, registered May 30, 2013 (-119 days) · Other
- M••••• S•••••• to B••••••• A•••• M••••••••• I••left Nov 13, 2009, registered Nov 17, 2009 (4 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
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• A•••••• S•••••••• I••• to M••••• S•••••• D• I•••left Jul 27, 2004, registered Jul 23, 2004 (-4 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address