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.
K••••• C• L••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 9, 2023 · Saint Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 8, 2023 · St. Petersburg, Fl
- S••••••• F•••••••• S•••••••• I••• formerMar 1, 2021 to Mar 23, 2023 · Tampa, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 13, 2016 to Oct 1, 2020 · Tampa, Fl
- S••••••• I••••••••• S•••••••• I••• formerSep 4, 2013 to Dec 31, 2016 · Tampa, Fl
- I••••••••• C•••••• O• A••••••• I••• formerNov 18, 2011 to Apr 12, 2012 · Tampa, Fl
- S••••••• F•••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Mar 23, 2023, registered May 8, 2023 (46 days) · RIA to affiliated broker-dealer or bank
- T••••• A••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Oct 1, 2020, registered Mar 1, 2021 (151 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 13, 2016 (-109 days) · corporate re-registration, not a move
- I••••••••• C•••••• O• A••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Apr 12, 2012, registered Sep 4, 2013 (510 days) · Other
- K••••• C• L•••••• left S••••••• F•••••••• S•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-05-08)Mar 23, 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
- 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