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••••••••• R••• Q•••••
- C••••• W••••• P••••••• independent RIA currentsince Jun 16, 2020 · St. Petersburg, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 7, 2013 to Jul 6, 2020 · St. Petersburg, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 7, 2011 to Nov 8, 2013 · Clearwater, Fl
- U•• F•••••••• S••••••• I••• to C••••• W••••• P•••••••left Jul 6, 2020, registered Jun 16, 2020 (-20 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 8, 2013, registered Nov 7, 2013 (-1 days) · Wirehouse to wirehouse
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address