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•••••• D•••• R••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Nov 10, 2022 · Tampa, Fl
- S••••••• F•••••••• S•••••••• I••• formerJan 26, 2015 to Nov 9, 2022 · Plantation, Fl
- O••••••••• S••••••••• I••• BD affiliatedJan 13, 2011 to Jan 8, 2015 · Miami, Fl
- E•••••••• A•••••••• L•• national BDJul 9, 1998 to Jan 11, 2011 · Ft. Lauderdale, Fl
- S••••••• F•••••••• S•••••••• I••• to J• W• C••• A•••••••• I•••left Nov 9, 2022, registered Nov 10, 2022 (1 days) · RIA to RIA
- O••••••••• S••••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jan 8, 2015, registered Jan 26, 2015 (18 days) · Other
- E•••••••• A•••••••• L•• to O••••••••• S••••••••• I•••left Jan 11, 2011, registered Jan 13, 2011 (2 days) · Other
- W•••••• D•••• R•••• left S••••••• F•••••••• S•••••••• I••• for J• W• C••• A•••••••• I••• (registered 2022-11-10)Nov 9, 2022 · 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
- 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