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.
D••••• H•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Winter Park, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 15, 2021 to Mar 31, 2025 · Altamonte Springs, Fl
- C••• L•• BD affiliatedJan 28, 2021 to May 26, 2021 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 11, 2018 to Dec 31, 2020 · Altamonte Springs, Fl
- T• A••••••••• I••• formerJan 5, 2018 to Jan 11, 2021 · Winter Park, Fl
- U••• F•••••••• P••••••• S••••••• formerJul 16, 2012 to Aug 4, 2017 · Addison, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 26, 2010 to Jan 4, 2012 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2008 to Dec 22, 2008 · Austin, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 26, 2021, registered Jun 15, 2021 (20 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 11, 2021, registered Jan 11, 2018 (-1096 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to C••• L••left Dec 31, 2020, registered Jan 28, 2021 (28 days) · RIA to affiliated broker-dealer or bank
- U••• F•••••••• P••••••• S••••••• to T• A••••••••• I•••left Aug 4, 2017, registered Jan 5, 2018 (154 days) · Other
- V•••• F•••••••• A•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Jan 4, 2012, registered Jul 16, 2012 (194 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••left Dec 22, 2008, registered Feb 26, 2010 (431 days) · Other
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