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.
T•••••• A•••••••• D••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 8, 2019 · Tampa, Fl
- C••••• • A••••••••• I••• independent RIAMay 7, 2018 to Dec 24, 2018 · Tampa, Fl
- I••••• F•••••••• C••••••••• formerMar 11, 2013 to Apr 24, 2018 · Appleton, Wi
- A••••••••• F•••••••• S•••••••• L•• national BDApr 8, 2010 to Feb 13, 2013 · Tampa, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 4, 2010 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 11, 2007 to Jun 1, 2009 · Jacksonville, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDOct 14, 2005 to Jan 23, 2007 · Tampa, Fl
- C••••• • A••••••••• I••• to L•• F•••••••• L••left Dec 24, 2018, registered Jan 8, 2019 (15 days) · RIA to RIA
- I••••• F•••••••• C••••••••• to C••••• • A••••••••• I•••left Apr 24, 2018, registered May 7, 2018 (13 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I••••• F•••••••• C•••••••••left Feb 13, 2013, registered Mar 11, 2013 (26 days) · Other
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jan 4, 2010, registered Apr 8, 2010 (94 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jan 23, 2007, registered Sep 11, 2007 (231 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