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.
W••••• F•••• W•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince May 2, 2023 · Temple Terrace, Fl
- O•••• F•• I••• formerJun 13, 2005 to May 2, 2023 · St Petersburg, Fl
- N•• E•••••• S••••••••• C••••••••• formerMay 19, 1999 to May 2, 2005 · Tampa, Fl
- O•••• F•• I••• to C••••••••• F•••••••• N••••••left May 2, 2023, registered May 2, 2023 (0 days) · Affiliated broker-dealer or bank to another
- N•• E•••••• S••••••••• C••••••••• to O•••• F•• I•••left May 2, 2005, registered Jun 13, 2005 (42 days) · Other
- W••••• F•••• W••••••• left O•••• F•• I••• for C••••••••• F•••••••• N•••••• (registered 2023-05-02)May 2, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address