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•••••• wirehouse currentsince Sep 24, 2024 · Tampa, Fl
- E••••• W••••• M••••••••• L•• state registeredJun 7, 2024 to Sep 26, 2024 · Tampa, Fl
- F••••• I••••••••• independent RIANov 29, 2018 to Apr 10, 2023 · Plano, Tx
- E••••• W••••• M••••••••• L•• to M••••• S••••••left Sep 26, 2024, registered Sep 24, 2024 (-2 days) · Other
- F••••• I••••••••• to E••••• W••••• M••••••••• L••left Apr 10, 2023, registered Jun 7, 2024 (424 days) · RIA to a state-registered adviser
- M••••• C• N••••••• left E••••• W••••• M••••••••• L•• for M••••• S•••••• (registered 2024-09-24)Sep 26, 2024 · Advisor changed firm · fact
- M••••• C• N••••••• left F••••• I••••••••• for E••••• W••••• M••••••••• L•• (registered 2024-06-07)Apr 10, 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address