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••• S•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Dec 6, 2019 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJul 16, 2019 to Aug 14, 2019 · Tampa, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Aug 31, 2018 · Tampa, Fl
- M•• F•••••••• S•••••••• I••• formerSep 23, 2016 to Mar 25, 2017 · Tampa, Fl
- W•••••• • R••• formerMay 31, 2011 to May 25, 2016 · Ft. Collins, Co
- S••••• F•••••••• S•••••••• I••• formerJan 11, 2011 to May 25, 2011 · Greeley, Co
- A••••••••• F•••••••• S•••••••• L•• national BDOct 3, 2005 to May 7, 2009 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 14, 2019, registered Dec 6, 2019 (114 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 31, 2018, registered Jul 16, 2019 (319 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to M•• F•••••••• S•••••••• I•••left May 25, 2016, registered Sep 23, 2016 (121 days) · Other
- S••••• F•••••••• S•••••••• I••• to W•••••• • R•••left May 25, 2011, registered May 31, 2011 (6 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••• F•••••••• S•••••••• I•••left May 7, 2009, registered Jan 11, 2011 (614 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address