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•••• M•••••••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Jul 29, 2020 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMay 13, 2016 to Jul 27, 2020 · Tampa, Fl
- A••••••• C•••••• A••••••• S•••••••• I••• formerJul 6, 2004 to Dec 31, 2008 · Kansas City, Mo
- B•• M••••• S••••••••• C••••••••• otherNov 7, 2003 to May 5, 2004 · Uniondale, Ny
- A••••••••• F•••••••• S•••••••• L•• to J• W• C••• A•••••••• I•••left Jul 27, 2020, registered Jul 29, 2020 (2 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••• C•••••• A••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2008, registered May 13, 2016 (2690 days) · Other
- B•• M••••• S••••••••• C••••••••• to A••••••• C•••••• A••••••• S•••••••• I•••left May 5, 2004, registered Jul 6, 2004 (62 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