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.
F•••••• B•••• B•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 22, 2020 · Largo, Fl
- P••••••••• S••••••••• C••••••••• independent RIAJun 10, 2013 to Oct 22, 2020 · Land O Lakes, Fl
- E•••••••• A•••••••• L•• national BDMay 29, 2013 to Jun 7, 2013 · Seminole, Fl
- P••••••••• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 22, 2020, registered Oct 22, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to P••••••••• S••••••••• C•••••••••left Jun 7, 2013, registered Jun 10, 2013 (3 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address