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.
S••• A••• H••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 20, 2017 · St. Petersburg, Fl
- I••••• F•••••••• C••••••••• formerJun 2, 2011 to Oct 16, 2017 · Appleton, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 4, 2010 to Feb 23, 2011 · Tampa, Fl
- G•••••••• F••••••••• I•• unclassifiedAug 10, 2005 to Mar 29, 2010 · Lexington, Sc
- G•••••••• F••••••••• I•• unclassifiedOct 25, 2004 to Mar 22, 2005 · Tampa, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedApr 4, 2003 to Oct 28, 2004 · Tampa, Fl
- I••••• F•••••••• C••••••••• to R•••••• J•••• • A••••••••• I•••left Oct 16, 2017, registered Oct 20, 2017 (4 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to I••••• F•••••••• C•••••••••left Feb 23, 2011, registered Jun 2, 2011 (99 days) · Other
- G•••••••• F••••••••• I•• to M•• I•••••••• S•••••••• L••left Mar 29, 2010, registered Jun 4, 2010 (67 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to G•••••••• F••••••••• I••left Oct 28, 2004, registered Oct 25, 2004 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address