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.
V•••••• L•• Q••••••
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince May 11, 2023 · Lakewood Ranch, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 18, 2022 to May 12, 2023 · Bradenton, Fl
- W•••• F•••• A••••••• wirehouseMar 26, 2018 to Nov 3, 2020 · Lakewood Ranch, Fl
- P•••• S••••••••• L•• no RAUMApr 18, 2014 to Apr 11, 2017 · Tampa, Fl
- B•• H••••• F•••••••• A•••••••• I•• formerJun 14, 2013 to Sep 4, 2013 · Bradenton, Fl
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 22, 2009 · Bradenton, Fl
- A• G• E•••••• • S•••• I••• unclassifiedNov 20, 2007 to Jan 1, 2008 · Bradenton, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left May 12, 2023, registered May 11, 2023 (-1 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 3, 2020, registered May 18, 2022 (561 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Apr 11, 2017, registered Mar 26, 2018 (349 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to P•••• S••••••••• L••left Sep 4, 2013, registered Apr 18, 2014 (226 days) · Other
- W•••• F•••• A••••••• to B•• H••••• F•••••••• A•••••••• I••left Jul 22, 2009, registered Jun 14, 2013 (1423 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
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address