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.
I••••••• P•••• M••••••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Dec 15, 2020 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseJan 25, 2018 to Nov 16, 2020 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• national BDJul 6, 2017 to Jan 9, 2018 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 12, 2015 to Jun 27, 2017 · Middletown, Ct
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Nov 16, 2020, registered Dec 15, 2020 (29 days) · Other
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Jan 9, 2018, registered Jan 25, 2018 (16 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Jun 27, 2017, registered Jul 6, 2017 (9 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
- No RAUM reportedderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address