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.
D•••• G••• P•••••••
- J•••• T•••••• I••••••••• P•••••••• L•• independent RIA currentsince Jun 4, 2019 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseJan 22, 2015 to Jun 4, 2019 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 18, 2011 to Jan 23, 2015 · Clearwater, Fl
- M••••• S•••••• wirehouseJun 24, 2010 to Nov 22, 2011 · Tampa, Fl
- W•••• F•••• A••••••• to J•••• T•••••• I••••••••• P•••••••• L••left Jun 4, 2019, registered Jun 4, 2019 (0 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 23, 2015, registered Jan 22, 2015 (-1 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 22, 2011, registered Nov 18, 2011 (-4 days) · Wirehouse to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address