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.
M•••••• S•••• M••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 25, 2021 · Dunedin, Fl
- A•••••• A••••••• S••••••• formerJul 20, 2020 to Jun 23, 2021 · Palm Harbor, Fl
- R••••• I••••••••• A•••••••• I•• BD affiliatedOct 18, 2017 to Oct 5, 2018 · Palm Harbor, Fl
- A•••••• A••••••• S••••••• formerJun 3, 2016 to Sep 22, 2017 · Palm Harbor, Fl
- A•••••• A••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 23, 2021, registered Jun 25, 2021 (2 days) · Affiliated broker-dealer or bank to another
- R••••• I••••••••• A•••••••• I•• to A•••••• A••••••• S•••••••left Oct 5, 2018, registered Jul 20, 2020 (654 days) · RIA to affiliated broker-dealer or bank
- A•••••• A••••••• S••••••• to R••••• I••••••••• A•••••••• I••left Sep 22, 2017, registered Oct 18, 2017 (26 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address