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•••• F••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 22, 2018 · Venice, Fl
- S••••••••• W••••• P••••••• independent RIAApr 19, 2017 to Jun 11, 2018 · Bradenton, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 6, 2011 to Dec 20, 2016 · St. Petersburg, Fl
- M••••• K••••• • C••••••• L•• formerDec 9, 2004 to Mar 10, 2011 · Sarasota, Fl
- B••• I••••••••• S•••••••• I••• formerMar 27, 2003 to Nov 30, 2004 · Venice, Fl
- S••••••• I••••••••• S•••••••• I••• formerFeb 20, 2002 to Mar 14, 2003 · Bradenton, Fl
- S••••••••• W••••• P••••••• to W•••• F•••• A•••••••left Jun 11, 2018, registered Jun 22, 2018 (11 days) · RIA to wirehouse
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••••• W••••• P•••••••left Dec 20, 2016, registered Apr 19, 2017 (120 days) · Other · moved with a team
- M••••• K••••• • C••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 10, 2011, registered Jun 6, 2011 (88 days) · Other
- B••• I••••••••• S•••••••• I••• to M••••• K••••• • C••••••• L••left Nov 30, 2004, registered Dec 9, 2004 (9 days) · Other
- S••••••• I••••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Mar 14, 2003, registered Mar 27, 2003 (13 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address