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.
R••••• M•••••• W•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 28, 2017 · St. Petersburg, Fl
- S•••••••• I••••••••• M••••••••• formerJan 30, 2017 to Apr 12, 2017 · Saint Louis, Mo
- V••••• C•••••• A•••••••• L•• otherMar 27, 2014 to Feb 29, 2016 · Hartford, Ct
- C••••••• C••••••• I••• formerAug 4, 2010 to Jun 25, 2012 · Cincinnati, Oh
- R•••••• I••••••••• asset managerOct 7, 2008 to Jul 9, 2010 · Tampa, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 16, 2008 to Oct 3, 2008 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• national BDJan 5, 2007 to Jul 18, 2008 · St. Petersburg, Fl
- S•••••••• I••••••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Apr 12, 2017, registered Jun 28, 2017 (77 days) · Other
- V••••• C•••••• A•••••••• L•• to S•••••••• I••••••••• M•••••••••left Feb 29, 2016, registered Jan 30, 2017 (336 days) · Other
- C••••••• C••••••• I••• to V••••• C•••••• A•••••••• L••left Jun 25, 2012, registered Mar 27, 2014 (640 days) · Other
- R•••••• I••••••••• to C••••••• C••••••• I•••left Jul 9, 2010, registered Aug 4, 2010 (26 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to R•••••• I•••••••••left Oct 3, 2008, registered Oct 7, 2008 (4 days) · Other
- R•••••• J•••• • A••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 18, 2008, registered Jul 16, 2008 (-2 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address