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•••• P•••••• T•••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jun 18, 2018 · Bethesda, Md
- P•••••••• S••••••••• I••• BD affiliatedAug 8, 2008 to Jun 19, 2009 · Bethesda, Md
- I••••••• S•••••••• formerOct 31, 2007 to Aug 5, 2008 · Coconut Grove, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 6, 2007 to Jul 5, 2007 · Riverview, Fl
- R•••••• J•••• • A••••••••• I••• national BDJun 9, 2004 to Mar 20, 2007 · St. Petersburg, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedNov 10, 2003 to Feb 23, 2004 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJun 5, 2003 to Aug 21, 2003 · Fort Myers, Fl
- I••••••• S•••••••• to P•••••••• S••••••••• I•••left Aug 5, 2008, registered Aug 8, 2008 (3 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to I••••••• S••••••••left Jul 5, 2007, registered Oct 31, 2007 (118 days) · Other
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Mar 20, 2007, registered Jun 6, 2007 (78 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Feb 23, 2004, registered Jun 9, 2004 (107 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Aug 21, 2003, registered Nov 10, 2003 (81 days) · Affiliated broker-dealer or bank to a newly registered adviser
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