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.
T••••• R•••••• M•••••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 8, 2009 · Saint Petersburg, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 2, 2005 to Dec 26, 2008 · Belleair Bluffs, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 30, 1998 to Feb 15, 2005 · Lakeland, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Dec 26, 2008, registered Jan 8, 2009 (13 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 15, 2005, registered Feb 2, 2005 (-13 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address