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••••• A•••• G•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 1, 2026 · Ft Lauderdale, Fl
- I••••••••• F•••••••• P••••••• BD affiliatedDec 20, 2006 to Aug 31, 2026 · Miami, Fl
- M••••• S•••••• C••••••••• unclassifiedSep 15, 2003 to Jan 3, 2007 · Boston, Ma
- I••••••••• F•••••••• P••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 31, 2026, registered Sep 1, 2026 (1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• C••••••••• to I••••••••• F•••••••• P•••••••left Jan 3, 2007, registered Dec 20, 2006 (-14 days) · Other
- R••••• A•••• G••••• left I••••••••• F•••••••• P••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-09-01)Aug 31, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 53derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address