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.
A••••• L•••• V••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 9, 2022 · Tampa, Fl
- F•••• C•••••• A••••••• S••••••• BD affiliatedDec 15, 2015 to Dec 19, 2022 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerJul 25, 2013 to Dec 15, 2015 · Tampa, Fl
- F•••• C•••••• A••••••• S••••••• to L•• F•••••••• L••left Dec 19, 2022, registered Dec 9, 2022 (-10 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• A••••••• S•••••••left Dec 15, 2015, registered Dec 15, 2015 (0 days) · corporate re-registration, not a move
- A••••• L•••• V•••••• left F•••• C•••••• A••••••• S••••••• for L•• F•••••••• L•• (registered 2022-12-09)Dec 19, 2022 · Advisor changed firm · fact
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