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•••••• P• M••••
- M••••• S•••••• wirehouse currentsince Oct 30, 2023 · St. Petersburg, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 28, 2023 · St Petersburg, Fl
- C•••• I••••••••• S••••••• C•••• formerNov 30, 2009 to Oct 1, 2012 · Lady Lake, Fl
- C••••• • A••••••••• I••• independent RIAJun 23, 2009 to Nov 10, 2009 · Tampa, Fl
- O••••••••• S••••••••• I••• BD affiliatedJun 24, 2008 to Jun 8, 2009 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 2, 2005 to May 28, 2008 · Tampa, Fl
- J••• M••••• S••••••••• L•• to M••••• S••••••left Oct 28, 2023, registered Oct 30, 2023 (2 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C••••• • A••••••••• I••• to C•••• I••••••••• S••••••• C••••left Nov 10, 2009, registered Nov 30, 2009 (20 days) · Other
- O••••••••• S••••••••• I••• to C••••• • A••••••••• I•••left Jun 8, 2009, registered Jun 23, 2009 (15 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left May 28, 2008, registered Jun 24, 2008 (27 days) · Other
- M•••••• P• M•••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2023-10-30)Oct 28, 2023 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address