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.
S•••• C••••••••• J••••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Oct 6, 2014 · Tampa, Fl
- P••••••• W••••• P••••••• formerJul 25, 2011 to Feb 13, 2015 · Tampa, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 8, 2010 · Tampa, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 30, 2006 to Jun 1, 2009 · Tampa, Fl
- M••••• S•••••• D• I••• unclassifiedNov 18, 2004 to Oct 23, 2006 · Tampa, Fl
- P••••••• W••••• P••••••• to J• W• C••• A•••••••• I•••left Feb 13, 2015, registered Oct 6, 2014 (-130 days) · Other · moved with a team
- M••••• S•••••• to P••••••• W••••• P•••••••left Apr 8, 2010, registered Jul 25, 2011 (473 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Oct 23, 2006, registered Oct 30, 2006 (7 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address