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.
P••• W•••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 5, 2025 · Boca Raton, Fl
- O•••• W•••••• I••• BD affiliatedJan 24, 2025 to Mar 5, 2025 · Boca Raton, Fl
- O•••• F•• I••• formerJun 6, 2016 to Jan 24, 2025 · Boca Raton, Fl
- P••••••••• W••••• A••••••• independent RIAJan 17, 2014 to Jun 17, 2016 · Fort Lauderdale, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 5, 2013 to Jun 2, 2016 · Fort Lauderdale, Fl
- O•••• F•• I••• formerFeb 11, 1999 to Oct 22, 2013 · Deerfield Beach, Fl
- O•••• W•••••• I••• to L•• F•••••••• L••left Mar 5, 2025, registered Mar 5, 2025 (0 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- P••••••••• W••••• A••••••• to O•••• F•• I•••left Jun 17, 2016, registered Jun 6, 2016 (-11 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P••••••••• W••••• A•••••••left Jun 2, 2016, registered Jan 17, 2014 (-867 days) · Other
- O•••• F•• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 22, 2013, registered Dec 5, 2013 (44 days) · Other
- P••• W•••••• C••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-03-05)Mar 5, 2025 · 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address