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.
- F••••• I••••••••• independent RIA currentsince Jul 20, 2026 · Plano, Tx
- S•••••••• A••••••• L•• national BDMar 31, 2025 to May 19, 2026 · Trinity, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 21, 2024 to Mar 31, 2025 · Clearwater, Fl
- M••••• S•••••• wirehouseSep 19, 2011 to May 14, 2024 · Clearwater, Fl
- M••••• K••••• • C••••••• L•• formerMar 6, 2007 to Sep 14, 2011 · Palm Harbor, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedApr 23, 2004 to Feb 20, 2007 · Clearwater, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJun 10, 2003 to Jul 29, 2003 · Tampa, Fl
- S•••••••• A••••••• L•• to F••••• I•••••••••left May 19, 2026, registered Jul 20, 2026 (62 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 14, 2024, registered Jun 21, 2024 (38 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• K••••• • C••••••• L•• to M••••• S••••••left Sep 14, 2011, registered Sep 19, 2011 (5 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 20, 2007, registered Mar 6, 2007 (14 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 29, 2003, registered Apr 23, 2004 (269 days) · Other
- F•••• J• C•••••• left S•••••••• A••••••• L•• for F••••• I••••••••• (registered 2026-07-20)May 19, 2026 · Advisor changed firm · fact
- F•••• J• C•••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-06-21)May 14, 2024 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address