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.
S•••• D•••••• B••••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Sep 13, 2021 · Tampa, Fl
- F••••• A•••••••• I••••••••• P••••••• L•• formerMay 22, 2018 to Dec 31, 2019 · Coral Springs, Fl
- F••••• A•••••••• I••••••••• P••••••• L•• formerMay 22, 2018 to Dec 31, 2020 · Coral Springs, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 18, 2015 to May 25, 2018 · Charlotte, Nc
- F••••• A•••••••• I••••••••• P••••••• L•• to J• W• C••• A•••••••• I•••left Dec 31, 2020, registered Sep 13, 2021 (256 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to F••••• A•••••••• I••••••••• P••••••• L••left May 25, 2018, registered May 22, 2018 (-3 days) · Wirehouse to independent RIA
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address