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.
D•••••• E•••• M•••••••••
- F••••• I••••••••• independent RIA currentsince Dec 18, 2020 · Tampa, Fl
- F•••••• F•••••••• A•••••••• L•• BD affiliatedJul 13, 2020 to Nov 17, 2020 · Tampa, Fl
- F•••••• W••••• M••••••••• I••• independent RIASep 18, 2018 to Mar 31, 2020 · Newburgh, Ny
- F•••••• F•••••••• A•••••••• L•• to F••••• I•••••••••left Nov 17, 2020, registered Dec 18, 2020 (31 days) · Affiliated broker-dealer or bank to independent RIA
- F•••••• W••••• M••••••••• I••• to F•••••• F•••••••• A•••••••• L••left Mar 31, 2020, registered Jul 13, 2020 (104 days) · RIA to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address