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••• A••••• A•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 15, 2014 · St. Petersburg, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedDec 10, 2007 to Sep 16, 2014 · Tampa, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Oct 11, 2007 · Orlando, Fl
- M••••• S•••••• D• I••• unclassifiedNov 27, 2006 to Apr 2, 2007 · Orlando, Fl
- T• R••• P•••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 16, 2014, registered Sep 15, 2014 (-1 days) · Other
- M••••• S•••••• • C•• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Oct 11, 2007, registered Dec 10, 2007 (60 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address