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.
C•••••• R•••••• W•••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Apr 6, 2022 · Boca Raton, Fl
- G••••• S••••••••• I••• formerMay 10, 2004 to Dec 31, 2009 · Boca Raton, Fl
- M••• S••••• M••••••••• C•••••• unclassifiedMay 29, 2003 to May 11, 2004 · Ft. Lauderdale, Fl
- W••••• • C•••••• unclassifiedJan 29, 1997 to May 23, 2022 · Boca Raton, Fl
- W••••• • C•••••• to M••• S••••• M••••••••• C••••••left May 23, 2022, registered May 29, 2003 (-6934 days) · Other
- G••••• S••••••••• I••• to I••••••••• F•••••••• G••••• L••left Dec 31, 2009, registered Apr 6, 2022 (4479 days) · Other
- M••• S••••• M••••••••• C•••••• to G••••• S••••••••• I•••left May 11, 2004, registered May 10, 2004 (-1 days) · Other
- C•••••• R•••••• W••••• left W••••• • C•••••• for M••• S••••• M••••••••• C•••••• (registered 2003-05-29)May 23, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address