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.
F••••••• D•••• C••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Safety Harbor, Fl
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Safety Harbor, Fl
- I••••••••• A••••••• S••••••• I•• formerDec 22, 2011 to Jul 17, 2020 · Clearwater, Fl
- C••••••••• I••••••••• S•••••••• I••• unclassifiedJun 27, 2007 to Sep 16, 2008 · Trinity, Fl
- I••••••••• A••••••• S••••••• I•• formerJan 17, 2003 to Dec 22, 2011 · Clearwater, Fl
- M••••• S•••••• D• I••• unclassifiedFeb 7, 2000 to Nov 21, 2002 · 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
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to C••••••••• I••••••••• S•••••••• I•••left Dec 22, 2011, registered Jun 27, 2007 (-1639 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to I••••••••• A••••••• S••••••• I••left Sep 16, 2008, registered Dec 22, 2011 (1192 days) · Other
- M••••• S•••••• D• I••• to I••••••••• A••••••• S••••••• I••left Nov 21, 2002, registered Jan 17, 2003 (57 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