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.
K•••• L••• G•••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Oct 9, 2014 · Tampa, Fl
- P••••••• W••••• P••••••• formerAug 28, 2009 to Dec 31, 2010 · Tampa, Fl
- P••••••• W••••• P••••••• formerAug 28, 2009 to Feb 13, 2015 · Tampa, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Dec 17, 2008 · Tampa, Fl
- M••••• S•••••• D• I••• unclassifiedOct 22, 2004 to Apr 2, 2007 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2001 to Oct 26, 2004 · Sarasota, Fl
- P••••••• W••••• P••••••• to J• W• C••• A•••••••• I•••left Feb 13, 2015, registered Oct 9, 2014 (-127 days) · Other · moved with a team
- M••••• S•••••• • C•• L•• to P••••••• W••••• P•••••••left Dec 17, 2008, registered Aug 28, 2009 (254 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Oct 26, 2004, registered Oct 22, 2004 (-4 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