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.
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B•••• A• K•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 2, 2023 · Spring Hill, Fl
- P•• W••••• M••••••••• BD affiliatedAug 23, 2021 to Oct 2, 2023 · Port Richey, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerMay 31, 2011 to Aug 17, 2021 · Spring Hill, Fl
- J• W• C••• A•••••••• I••• BD affiliatedJul 28, 2010 to Jan 26, 2011 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 29, 2009 · Spring Hill, Fl
- A• G• E•••••• • S•••• I••• unclassifiedOct 30, 2007 to Jan 1, 2008 · Spring Hill, Fl
- P•• W••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Oct 2, 2023, registered Oct 2, 2023 (0 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 23, 2021 (6 days) · corporate re-registration, not a move
- J• W• C••• A•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Jan 26, 2011, registered May 31, 2011 (125 days) · Other
- W•••• F•••• A••••••• to J• W• C••• A•••••••• I•••left Jul 29, 2009, registered Jul 28, 2010 (364 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- B•••• A• K••••••••• left P•• W••••• M••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-10-02)Oct 2, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address