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••••••• L••• S•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 20, 2018 · West Palm Beach, Fl
- M••••• S•••••• wirehouseJul 12, 2011 to Sep 17, 2018 · W. Palm Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 17, 1993 to Jul 5, 2011 · Palm Beach, Fl
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Sep 17, 2018, registered Sep 20, 2018 (3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 5, 2011, registered Jul 12, 2011 (7 days) · Wirehouse to wirehouse
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address