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.
R•••••• A•••••• A•••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Feb 5, 2019 · Tampa, Fl
- S•••••••• F••••••••• I••• formerAug 23, 2016 to Feb 7, 2019 · Tampa, Fl
- P•••••••• S••••••••• I••• BD affiliatedApr 28, 2016 to Aug 26, 2016 · Lutz, Fl
- S•••••••• F••••••••• I••• to O••••••••• S••••••••• I•••left Feb 7, 2019, registered Feb 5, 2019 (-2 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Aug 26, 2016, registered Aug 23, 2016 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address