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.
C•••••• F•• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 13, 2025 · Dunnellon, Fl
- P•••••••• A••••••• national BDJun 22, 2020 to Mar 13, 2025 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 13, 2006 to Oct 9, 2018 · Houston, Tx
- P•••••••• A••••••• to L•• F•••••••• L••left Mar 13, 2025, registered Mar 13, 2025 (0 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to P•••••••• A•••••••left Oct 9, 2018, registered Jun 22, 2020 (622 days) · Affiliated broker-dealer or bank to another
- C•••••• F•• S••••••• left P•••••••• A••••••• for L•• F•••••••• L•• (registered 2025-03-13)Mar 13, 2025 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address