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.
C•••••• W•••••••
- C••••••• P••••••• independent RIA currentsince Nov 15, 2023 · Tampa, Fl
- M•• S••••••••• L•• formerFeb 17, 2017 to Dec 31, 2019 · Tampa, Fl
- L•• F•••••••• L•• BD affiliatedApr 2, 2013 to Jan 27, 2017 · Apex, Nc
- C••••••• F•••••••• A••••••• formerFeb 4, 2010 to Apr 3, 2013 · Raleigh, Nc
- E••••• J•••• national BDAug 3, 2009 to Sep 17, 2009 · St Louis, Mo
- M•• S••••••••• L•• to C••••••• P•••••••left Dec 31, 2019, registered Nov 15, 2023 (1415 days) · Other
- L•• F•••••••• L•• to M•• S••••••••• L••left Jan 27, 2017, registered Feb 17, 2017 (21 days) · Other
- C••••••• F•••••••• A••••••• to L•• F•••••••• L••left Apr 3, 2013, registered Apr 2, 2013 (-1 days) · Other
- E••••• J•••• to C••••••• F•••••••• A•••••••left Sep 17, 2009, registered Feb 4, 2010 (140 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address