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.
B••• M•••••• P••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Aug 14, 2019 · Lakeland, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJul 28, 2016 to Feb 19, 2019 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 11, 2016 to Jul 15, 2016 · Saint Petersburg, Fl
- U••• F•••••••• P••••••• S••••••• formerApr 8, 2015 to Feb 12, 2016 · Tampa, Fl
- L•• F•••••••• L•• BD affiliatedDec 12, 2013 to Feb 27, 2015 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 19, 2019, registered Aug 14, 2019 (176 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 15, 2016, registered Jul 28, 2016 (13 days) · Wirehouse to affiliated broker-dealer or bank
- U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 12, 2016, registered Mar 11, 2016 (28 days) · Other
- L•• F•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Feb 27, 2015, registered Apr 8, 2015 (40 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address