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.
P••••••• L••• L•••••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 29, 2021 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseApr 3, 2014 to Oct 29, 2021 · Clearwater, Fl
- I••••••••• C•••••• O• A••••••• I••• formerSep 23, 2010 to Mar 19, 2014 · Tampa, Fl
- R•••• • A••••••••• independent RIAMay 31, 2007 to Dec 31, 2008 · Safety Harbor, Fl
- M••••• S•••••• D• I••• unclassifiedDec 5, 2000 to Mar 22, 2007 · Clearwater, Fl
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 29, 2021, registered Oct 29, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- I••••••••• C•••••• O• A••••••• I••• to W•••• F•••• A•••••••left Mar 19, 2014, registered Apr 3, 2014 (15 days) · Other
- R•••• • A••••••••• to I••••••••• C•••••• O• A••••••• I•••left Dec 31, 2008, registered Sep 23, 2010 (631 days) · Other
- M••••• S•••••• D• I••• to R•••• • A•••••••••left Mar 22, 2007, registered May 31, 2007 (70 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address