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•••••• S••••• N•••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 15, 2023 · St. Petersburg, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 20, 2016 to Jun 26, 2023 · Tampa, Fl
- U••• F•••••••• P••••••• S••••••• formerAug 25, 2015 to Dec 24, 2015 · Tampa, Fl
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jun 26, 2023, registered Jun 15, 2023 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U••• F•••••••• P••••••• S••••••• to U•• F•••••••• S••••••• I•••left Dec 24, 2015, registered Jan 20, 2016 (27 days) · Other
- W•••••• S••••• N••••• left U•• F•••••••• S••••••• I••• for R•• C•••••• M••••••• L•• (registered 2023-06-15)Jun 26, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address