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.
B••••• S••••• W••••
- A•••• G•••• C••••••• L•• independent RIA currentsince Jan 1, 2025 · Avon, Co
- Y••• C•••••• C•••• independent RIAFeb 8, 2017 to May 18, 2023 · St. Petersburg, Fl
- G•• P•••••• W••••• formerOct 3, 2012 to Feb 6, 2017 · Clearwater, Fl
- R•• C•••••• M••••••• L•• national BDSep 22, 2011 to Oct 1, 2012 · Tampa, Fl
- S•••••• I••••••••• A••••••• I•• unclassifiedJun 28, 2010 to Aug 1, 2011 · Clearwater, Fl
- Y••• C•••••• C•••• to A•••• G•••• C••••••• L••left May 18, 2023, registered Jan 1, 2025 (594 days) · RIA to RIA
- G•• P•••••• W••••• to Y••• C•••••• C••••left Feb 6, 2017, registered Feb 8, 2017 (2 days) · Other
- R•• C•••••• M••••••• L•• to G•• P•••••• W•••••left Oct 1, 2012, registered Oct 3, 2012 (2 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••• I••••••••• A••••••• I•• to R•• C•••••• M••••••• L••left Aug 1, 2011, registered Sep 22, 2011 (52 days) · Other
- B••••• S••••• W•••• left Y••• C•••••• C•••• for A•••• G•••• C••••••• L•• (registered 2025-01-01)May 18, 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address