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.
B•••••• A•• M•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Aug 19, 2016 · Dunedin, Fl
- C•••• I••••••••• S••••••• C•••• formerApr 21, 2011 to Dec 14, 2011 · Tampa, Fl
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 14, 2010 to Aug 19, 2010 · Tampa, Fl
- S••••••• I••••••••• S•••••••• I••• formerAug 26, 2008 to May 10, 2010 · Bradenton, Fl
- C•••• I••••••••• S••••••• C•••• to T••••• A••••••• S•••••••• I•••left Dec 14, 2011, registered Aug 19, 2016 (1710 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to C•••• I••••••••• S••••••• C••••left Aug 19, 2010, registered Apr 21, 2011 (245 days) · Other
- S••••••• I••••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left May 10, 2010, registered Jul 14, 2010 (65 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address