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.
Z••••••• W•••••
- P•• W••••• M••••••••• BD affiliated currentsince Mar 2, 2023 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedJul 14, 2022 to Mar 6, 2023 · Tampa, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJun 12, 2020 to Feb 28, 2022 · Owings Mills, Md
- A••••••••• F•••••••• S•••••••• L•• national BDMar 4, 2020 to Mar 20, 2020 · Tampa, Fl
- M••••• S•••••• wirehouseOct 31, 2018 to Dec 20, 2019 · Tampa, Fl
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Mar 6, 2023, registered Mar 2, 2023 (-4 days) · RIA to affiliated broker-dealer or bank
- T• R••• P•••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Feb 28, 2022, registered Jul 14, 2022 (136 days) · RIA to RIA
- A••••••••• F•••••••• S•••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Mar 20, 2020, registered Jun 12, 2020 (84 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Dec 20, 2019, registered Mar 4, 2020 (75 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- Z••••••• W••••• left L•• F•••••••• L•• for P•• W••••• M••••••••• (registered 2023-03-02)Mar 6, 2023 · Advisor changed firm · fact
- Z••••••• W••••• left T• R••• P•••• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-07-14)Feb 28, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address