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.
A••• K••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 12, 2016 · Wellesley, Ma
- N•• A•••••••• I••• unclassifiedJun 30, 2009 to Dec 1, 2010 · Tampa, Fl
- V••• F•••••••• P•••••••• L•• formerMay 31, 2007 to Jun 4, 2007 · Tampa, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 2, 2006 to Apr 23, 2007 · Tampa, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 22, 2003 to Aug 22, 2006 · Valrico, Fl
- A•••••• I••••••••• S•••••••• I••• unclassifiedJun 27, 2003 to Jul 23, 2003 · Valrico, Fl
- P••••••••• E••••• G••••• L•• unclassifiedOct 22, 2001 to Jun 24, 2003 · Tampa, Fl
- N•• A•••••••• I••• to L•• F•••••••• L••left Dec 1, 2010, registered Apr 12, 2016 (1959 days) · Other
- V••• F•••••••• P•••••••• L•• to N•• A•••••••• I•••left Jun 4, 2007, registered Jun 30, 2009 (757 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to V••• F•••••••• P•••••••• L••left Apr 23, 2007, registered May 31, 2007 (38 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to T••••••••• F•••••••• A•••••••• L••left Aug 22, 2006, registered Jan 2, 2006 (-232 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 23, 2003, registered Jul 22, 2003 (-1 days) · corporate re-registration, not a move
- P••••••••• E••••• G••••• L•• to A•••••• I••••••••• S•••••••• I•••left Jun 24, 2003, registered Jun 27, 2003 (3 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address