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.
F••••••• P•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 8, 2021 to Mar 31, 2025 · Jacksonville, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Aug 23, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerMar 6, 2018 to Feb 17, 2021 · Tampa, Fl
- I••••••••• P••••••••• I••• formerOct 26, 2015 to Mar 5, 2018 · San Antonio, Tx
- S••••••• I••••••••• S•••••••• I••• formerMay 14, 2013 to Oct 26, 2015 · Tampa, Fl
- F•••• T•••• S••••••••• I••• BD affiliatedNov 9, 2011 to May 3, 2013 · Pinellas Park, Fl
- W•••• F•••• A••••••• wirehouseOct 11, 2006 to Nov 1, 2011 · Tampa, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 1, 1998 to Oct 18, 2006 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T••••• A••••••• S•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 23, 2021, registered Oct 8, 2021 (46 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- I••••••••• P••••••••• I••• to B••• S••••••••• L••left Mar 5, 2018, registered Mar 6, 2018 (1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to I••••••••• P••••••••• I•••left Oct 26, 2015, registered Oct 26, 2015 (0 days) · Other
- F•••• T•••• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left May 3, 2013, registered May 14, 2013 (11 days) · Other
- W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••left Nov 1, 2011, registered Nov 9, 2011 (8 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Oct 18, 2006, registered Oct 11, 2006 (-7 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address