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••••••• I•••• C••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Aug 24, 2016 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseMar 10, 2003 to Mar 26, 2014 · Sarasota, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 11, 2002 to Feb 13, 2003 · Tampa , Fl
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to Nov 19, 2002 · Tampa, Fl
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Mar 26, 2014, registered Aug 24, 2016 (882 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 13, 2003, registered Mar 10, 2003 (25 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 19, 2002, registered Dec 11, 2002 (22 days) · Wirehouse to wirehouse
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