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••••• S•••••• wirehouse currentsince May 10, 2018 · Tampa, Fl
- I••••• F•••••••• C••••••••• formerFeb 14, 2014 to Apr 24, 2018 · Appleton, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 6, 2009 to Jan 29, 2014 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMay 12, 2008 to Oct 13, 2009 · St Petersburg, Fl
- I••••• F•••••••• C••••••••• to M••••• S••••••left Apr 24, 2018, registered May 10, 2018 (16 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I••••• F•••••••• C•••••••••left Jan 29, 2014, registered Feb 14, 2014 (16 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 13, 2009, registered Mar 6, 2009 (-221 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address