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.
C••••••••• B•••• L••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 15, 2018 · Clearwater, Fl
- I••••• F•••••••• C••••••••• formerSep 8, 2009 to Feb 15, 2018 · Clearwater, Fl
- O••••••••• S••••••••• I••• BD affiliatedApr 28, 2008 to Dec 1, 2008 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJan 27, 2004 to Jan 28, 2008 · Tampa, Fl
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 15, 2018, registered Feb 15, 2018 (0 days) · corporate re-registration, not a move
- O••••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Dec 1, 2008, registered Sep 8, 2009 (281 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Jan 28, 2008, registered Apr 28, 2008 (91 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address