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••••• T••••• P••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Terra Ceia Island, Fl
- S••••••••• A•••••• A•••••••• I••• formerJan 2, 2015 to Jun 14, 2024 · Terra Ceia Island, Fl
- M•• F•••••••• S•••••••• I••• formerSep 30, 2009 to Nov 30, 2010 · Sarasota, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDSep 18, 1998 to Jun 24, 2008 · Tampa, Fl
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Nov 30, 2010, registered Jan 2, 2015 (1494 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jun 24, 2008, registered Sep 30, 2009 (463 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