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.
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M••• L••••••• D••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 18, 2022 · Largo, Fl
- O•••• F•• I••• formerOct 22, 2015 to Mar 18, 2022 · Largo, Fl
- Q•••••• A•••• M••••••••• I••• formerMar 6, 2014 to Oct 23, 2015 · Largo, Fl
- P••• A••••• S••••••••• L•• BD affiliatedSep 15, 2010 to Feb 25, 2014 · Tampa, Fl
- J• W• C••• A•••••••• I••• BD affiliatedMar 9, 2009 to Aug 18, 2010 · Tampa, Fl
- N•• E•••••• S••••••••• C••••••••• formerAug 29, 2006 to Jan 12, 2009 · Tampa, Fl
- O•••• F•• I••• to L•• F•••••••• L••left Mar 18, 2022, registered Mar 18, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Q•••••• A•••• M••••••••• I••• to O•••• F•• I•••left Oct 23, 2015, registered Oct 22, 2015 (-1 days) · Other
- P••• A••••• S••••••••• L•• to Q•••••• A•••• M••••••••• I•••left Feb 25, 2014, registered Mar 6, 2014 (9 days) · Other
- J• W• C••• A•••••••• I••• to P••• A••••• S••••••••• L••left Aug 18, 2010, registered Sep 15, 2010 (28 days) · Other
- N•• E•••••• S••••••••• C••••••••• to J• W• C••• A•••••••• I•••left Jan 12, 2009, registered Mar 9, 2009 (56 days) · Other
- M••• L••••••• D•••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2022-03-18)Mar 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address