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.
W•••••• J••••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince May 19, 2022 · Lutz, Fl
- C••• B•••••••• S•••••••• I••• formerJun 24, 2019 to May 24, 2022 · Tampa, Fl
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Jun 20, 2019 · Spring Hill, Fl
- I••••• F•••••••• C••••••••• formerMay 8, 2017 to Feb 15, 2018 · Spring Hill, Fl
- M••••• S•••••• wirehouseOct 20, 2016 to Apr 19, 2017 · Tampa, Fl
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMApr 11, 2016 to Oct 19, 2016 · Tampa, Fl
- A••••••• F•••••••• A•••••••• L•• BD affiliatedAug 12, 2014 to Mar 19, 2015 · Land O Lakes, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 6, 2013 to Jul 31, 2014 · Boca Raton, Fl
- F•••• C•••••• F•••••••• P•••••••• I••• formerNov 29, 2012 to Apr 9, 2013 · Tampa, Fl
- E••••• J•••• national BDAug 9, 2012 to Sep 10, 2012 · Land O Lakes, Fl
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 24, 2022, registered May 19, 2022 (-5 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Jun 20, 2019, registered Jun 24, 2019 (4 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
- M••••• S•••••• to I••••• F•••••••• C•••••••••left Apr 19, 2017, registered May 8, 2017 (19 days) · Other
- E•••• • Y•••• I••••••••• A••••••• L•• to M••••• S••••••left Oct 19, 2016, registered Oct 20, 2016 (1 days) · Other
- A••••••• F•••••••• A•••••••• L•• to E•••• • Y•••• I••••••••• A••••••• L••left Mar 19, 2015, registered Apr 11, 2016 (389 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••••• F•••••••• A•••••••• L••left Jul 31, 2014, registered Aug 12, 2014 (12 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Apr 9, 2013, registered Jun 6, 2013 (58 days) · Other
- E••••• J•••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 10, 2012, registered Nov 29, 2012 (80 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address