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.
J•••••• W•••• T••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · St. Petersburg, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 2, 2013 to Jul 13, 2018 · Tampa, Fl
- S•••••• S••••••••• I••• BD affiliatedSep 13, 2013 to Nov 19, 2013 · Clearwater, Fl
- J• W• K•••• • C•••••• otherMay 4, 2012 to Sep 3, 2013 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseJun 11, 2009 to Aug 12, 2010 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 15, 2006 to Apr 29, 2009 · Gainesville, Fl
- 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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- S•••••• S••••••••• I••• to S•••••••• A••••••• L••left Nov 19, 2013, registered Dec 2, 2013 (13 days) · Other
- J• W• K•••• • C•••••• to S•••••• S••••••••• I•••left Sep 3, 2013, registered Sep 13, 2013 (10 days) · Other
- W•••• F•••• A••••••• to J• W• K•••• • C••••••left Aug 12, 2010, registered May 4, 2012 (631 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 29, 2009, registered Jun 11, 2009 (43 days) · Wirehouse to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address