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••••••• R••••• H••••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 15, 2021 · Tampa, Fl
- T• A••••••••• I••• formerMar 14, 2022 to Oct 14, 2022 · Tysons Corner, Va
- U••• F•••••••• P••••••• S••••••• formerAug 25, 2011 to Mar 23, 2015 · Tampa, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedSep 17, 2010 to Jul 26, 2011 · Tampa, Fl
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Mar 23, 2015, registered Apr 15, 2021 (2215 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Jul 26, 2011, registered Aug 25, 2011 (30 days) · Other
- B••••••• R••••• H•••••• no longer registered at T• A••••••••• I•••; no later IA registration on IAPDOct 14, 2022 · Advisor departure · 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address