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.
P•••• W•••• N•••••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Jan 9, 2019 · Lutz, Fl
- I••••••••• F•••••••• P••••••• BD affiliatedJul 23, 2010 to Dec 20, 2018 · Tampa, Fl
- L•• F•••••••• L•• BD affiliatedApr 26, 2006 to Apr 28, 2011 · New Port Richey, Fl
- K••••• S••••••••• I••• unclassifiedAug 15, 2005 to Apr 21, 2006 · New Port Richey, Fl
- I••••••••• F•••••••• P••••••• to I•• W••••• M••••••••• L••left Dec 20, 2018, registered Jan 9, 2019 (20 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Apr 28, 2011, registered Jul 23, 2010 (-279 days) · Other
- K••••• S••••••••• I••• to L•• F•••••••• L••left Apr 21, 2006, registered Apr 26, 2006 (5 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