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••• C• B••••
- Q• A•••••••• L•• no RAUM currentsince Dec 9, 2024 · Fort Myers, Fl
- F••••• I••••••••• independent RIAJun 10, 2024 to Nov 19, 2024 · Tampa, Fl
- C•••••• S••••• • C••• I••• national BDMar 4, 2019 to Jan 14, 2020 · Indianapolis, In
- F••••• I••••••••• to Q• A•••••••• L••left Nov 19, 2024, registered Dec 9, 2024 (20 days) · Other
- C•••••• S••••• • C••• I••• to F••••• I•••••••••left Jan 14, 2020, registered Jun 10, 2024 (1609 days) · Affiliated broker-dealer or bank to independent RIA
- R••• C• B•••• left F••••• I••••••••• for Q• A•••••••• L•• (registered 2024-12-09)Nov 19, 2024 · 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
- No RAUM reportedderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address