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.
W•••••• P•••••• H•••••
- C•••••••• A•••• M••••••••• I••• state registered currentsince Jul 12, 2018 · Tampa, Fl
- C••••••••• W•••••• L•• independent RIAJul 27, 2018 to Sep 24, 2018 · Tampa, Fl
- S••••• W••••• A•••••••• I••• formerJun 23, 2009 to May 1, 2018 · Tampa, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 26, 2007 to Jan 4, 2008 · Tampa, Fl
- C••••••••• W•••••• L•• to no registered destinationleft Sep 24, 2018 · Departure, no registered destination
- S••••• W••••• A•••••••• I••• to C•••••••• A•••• M••••••••• I•••left May 1, 2018, registered Jul 12, 2018 (72 days) · RIA to a state-registered adviser
- R•••••• J•••• F•••••••• S•••••••• I••• to S••••• W••••• A•••••••• I•••left Jan 4, 2008, registered Jun 23, 2009 (536 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address