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.
- W•••• F•••• A••••••• wirehouse currentsince Apr 22, 2021 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 9, 2018 to Apr 15, 2021 · Saint Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BDMar 24, 2017 to Feb 12, 2018 · St. Petersburg, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 24, 2016 to Mar 9, 2017 · Tampa, Fl
- U••• F•••••••• P••••••• S••••••• formerApr 14, 2015 to Jul 8, 2016 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseFeb 27, 2001 to Mar 30, 2004 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Apr 15, 2021, registered Apr 22, 2021 (7 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 12, 2018, registered Mar 9, 2018 (25 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Mar 9, 2017, registered Mar 24, 2017 (15 days) · Other
- U••• F•••••••• P••••••• S••••••• to V•••• F•••••••• A•••••••• I•••left Jul 8, 2016, registered Aug 24, 2016 (47 days) · Other
- W•••• F•••• A••••••• to U••• F•••••••• P••••••• S•••••••left Mar 30, 2004, registered Apr 14, 2015 (4032 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address