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.
R••••• T••••• L•••••••
- C•••••• W••••• A••••••• state registered currentsince Oct 4, 2017 · Tampa, Fl
- C•••••• W••••• A••••••• G•••• independent RIAJan 4, 2017 to Mar 31, 2017 · Tampa, Fl
- C•••••• S••••• • C••• I••• national BDFeb 22, 2007 to Dec 6, 2016 · Fishers (Indianapolis), In
- A••••••••• F•••••••• S•••••••• L•• national BDJun 9, 2006 to Jan 24, 2007 · Orlando, Fl
- C•••••• W••••• A••••••• G•••• to C•••••• W••••• A•••••••left Mar 31, 2017, registered Oct 4, 2017 (187 days) · Other
- C•••••• S••••• • C••• I••• to C•••••• W••••• A••••••• G••••left Dec 6, 2016, registered Jan 4, 2017 (29 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jan 24, 2007, registered Feb 22, 2007 (29 days) · Affiliated broker-dealer or bank to another
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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address