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•••••• T••••• G••••••••
- L••••••• S••••••••• C•••• BD affiliated currentsince Jan 3, 2019 · Rochester, Ny
- J• W• C••• A•••••••• I••• BD affiliatedMay 24, 2010 to Jan 10, 2019 · Palm Harbor, Fl
- G•••••••• F••••••••• I•• unclassifiedJun 11, 2009 to Mar 29, 2010 · Tampa, Fl
- B••• I••••••••• S•••••••• I••• formerMay 31, 2007 to May 21, 2009 · Palm Harbor, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 6, 2006 to May 15, 2007 · Clearwater, Fl
- M••••• S•••••• D• I••• unclassifiedOct 10, 2005 to May 24, 2006 · Clearwater, Fl
- J• W• C••• A•••••••• I••• to L••••••• S••••••••• C••••left Jan 10, 2019, registered Jan 3, 2019 (-7 days) · RIA to RIA
- G•••••••• F••••••••• I•• to J• W• C••• A•••••••• I•••left Mar 29, 2010, registered May 24, 2010 (56 days) · Other
- B••• I••••••••• S•••••••• I••• to G•••••••• F••••••••• I••left May 21, 2009, registered Jun 11, 2009 (21 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left May 15, 2007, registered May 31, 2007 (16 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 24, 2006, registered Oct 6, 2006 (135 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
- 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