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.
G•••••• K•••• B•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 1, 2021 · Tampa, Fl
- M••••• S•••••• wirehouseJan 3, 2011 to Nov 22, 2021 · Lutz, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 7, 2009 to Nov 22, 2010 · Tampa, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 2, 2001 to Oct 10, 2009 · Tampa, Fl
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Nov 22, 2021, registered Nov 1, 2021 (-21 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• S••••••left Nov 22, 2010, registered Jan 3, 2011 (42 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 10, 2009, registered May 7, 2009 (-156 days) · corporate re-registration, not a move
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address