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.
A••••••• E•••••••• B••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 21, 2022 · St. Petersburg, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 24, 2022 to May 18, 2022 · Gulfport, Fl
- A•••• F••••••••• I••• independent RIAJan 15, 2019 to May 14, 2020 · St Petersburg, Fl
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 14, 2018 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedDec 15, 2003 to Jan 3, 2011 · Seabrook, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJun 18, 2003 to Oct 30, 2003 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left May 18, 2022, registered Jul 21, 2022 (64 days) · Affiliated broker-dealer or bank to wirehouse
- A•••• F••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 14, 2020, registered Mar 24, 2022 (679 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to A•••• F••••••••• I•••left Nov 14, 2018, registered Jan 15, 2019 (62 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Oct 30, 2003, registered Dec 15, 2003 (46 days) · Other
- A••••••• E•••••••• B•••• left F••••••• P••••••• A•• W•••••••• A••••••• for W•••• F•••• A••••••• (registered 2022-07-21)May 18, 2022 · 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address