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.
R•••••• R•••••• M•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 8, 2018 · Clearwater, Fl
- N•••••• G•••• C••••••••• L•• institutionalAug 23, 2018 to Sep 25, 2018 · St. Petersburg, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedSep 25, 2017 to Jul 24, 2018 · Tampa, Fl
- N•••••• G•••• C••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 25, 2018, registered Oct 8, 2018 (13 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to N•••••• G•••• C••••••••• L••left Jul 24, 2018, registered Aug 23, 2018 (30 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address