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.
P•••• S•••••
- P•• W••••• M••••••••• BD affiliated currentsince Dec 22, 2021 · Pinellas Park, Fl
- E•••••• C•••••• M••••••••• L•• formerJan 31, 2019 to Nov 17, 2021 · Tampa, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedOct 14, 2014 to Jan 28, 2019 · Tampa, Fl
- E•••••• C•••••• M••••••••• L•• to P•• W••••• M•••••••••left Nov 17, 2021, registered Dec 22, 2021 (35 days) · RIA to affiliated broker-dealer or bank
- T• R••• P•••• A••••••• S•••••••• I••• to E•••••• C•••••• M••••••••• L••left Jan 28, 2019, registered Jan 31, 2019 (3 days) · RIA to RIA · moved with a team
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address