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.
A•••••••• R••••• G•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 7, 2015 · Saint Petersburg, Fl
- S••••••• I••••••••• S•••••••• I••• formerMar 26, 2010 to Mar 6, 2015 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJul 16, 2008 to Jun 22, 2009 · Tampa, Fl
- S••••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 6, 2015, registered Apr 7, 2015 (32 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Jun 22, 2009, registered Mar 26, 2010 (277 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address