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.
M•••••• A• P•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2023 · Ellenton, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJan 3, 2018 to May 22, 2023 · Plano, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJan 25, 2016 to Dec 19, 2017 · Bradenton, Fl
- S•••••••• F••••••••• I••• formerDec 5, 2012 to Feb 2, 2016 · Sun City Center, Fl
- I• A••••••• S•••••••• I••• formerSep 25, 2009 to Nov 26, 2012 · Riverview, Fl
- W••••••• F•••••••• S•••••••• I••• formerFeb 10, 2006 to Sep 29, 2009 · Lakewood Ranch, Fl
- I••••• F•••••••• C••••••••• formerJan 22, 2004 to Jul 7, 2004 · Sun City Center, Fl
- S•• BD affiliatedOct 18, 2002 to Dec 31, 2003 · Bradenton, Fl
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 22, 2023, registered May 18, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• F••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 2, 2016, registered Jan 25, 2016 (-8 days) · Other
- I• A••••••• S•••••••• I••• to S•••••••• F••••••••• I•••left Nov 26, 2012, registered Dec 5, 2012 (9 days) · Other
- W••••••• F•••••••• S•••••••• I••• to I• A••••••• S•••••••• I•••left Sep 29, 2009, registered Sep 25, 2009 (-4 days) · Other
- I••••• F•••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••left Jul 7, 2004, registered Feb 10, 2006 (583 days) · Other
- S•• to I••••• F•••••••• C•••••••••left Dec 31, 2003, registered Jan 22, 2004 (22 days) · Other
- M•••••• A• P••••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-05-18)May 22, 2023 · Advisor changed firm · fact
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address