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.
K••• A•••••• R•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 26, 2018 · St. Petersburg, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 9, 2016 to Nov 23, 2018 · St. Petersburg, Fl
- U••• F•••••••• P••••••• S••••••• formerApr 4, 2013 to Aug 4, 2015 · Tampa, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedDec 20, 2011 to Feb 28, 2013 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Nov 23, 2018, registered Nov 26, 2018 (3 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 4, 2015, registered Nov 9, 2016 (463 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Feb 28, 2013, registered Apr 4, 2013 (35 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address