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.
T••• E••• D•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 28, 2021 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 28, 2019 to Jan 7, 2021 · Tampa, Fl
- M••••• S•••••• wirehouseMay 5, 2011 to May 17, 2019 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJun 18, 2007 to Mar 14, 2011 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to C••••• I••••••••• A••••••• L••left Jan 7, 2021, registered Jan 28, 2021 (21 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 17, 2019, registered Jun 28, 2019 (42 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Mar 14, 2011, registered May 5, 2011 (52 days) · Affiliated broker-dealer or bank to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address