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.
M•••••• P•••••• P••••••••
- C••••••••• W••••• A•••••••• L•• state registered currentsince Aug 8, 2019 · New Port Richey, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedSep 27, 2010 to Jul 15, 2019 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseAug 23, 2007 to Dec 10, 2007 · Tampa, Fl
- M••••• S•••••• D• I••• unclassifiedAug 5, 2005 to Apr 19, 2006 · Port Richey, Fl
- T• R••• P•••• A••••••• S•••••••• I••• to C••••••••• W••••• A•••••••• L••left Jul 15, 2019, registered Aug 8, 2019 (24 days) · RIA to a state-registered adviser
- W•••• F•••• A••••••• to T• R••• P•••• A••••••• S•••••••• I•••left Dec 10, 2007, registered Sep 27, 2010 (1022 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Apr 19, 2006, registered Aug 23, 2007 (491 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address