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.
S••••• A••••• Z••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 21, 2023 · Boca Raton, Fl
- S••••••• F•••••••• S•••••••• I••• formerJan 14, 2014 to Aug 10, 2023 · Boca Raton, Fl
- L••••• A•••••••• L•• formerMay 30, 2012 to Jan 2, 2014 · Palm Beach Gardens, Fl
- P•••• S••••••••• L•• no RAUMNov 10, 2005 to Apr 16, 2012 · West Palm Beach, Fl
- P•••• S••••••••• L•• no RAUMDec 14, 2000 to Jun 16, 2005 · Fort Wayne, In
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Jun 21, 2023 (-50 days) · corporate re-registration, not a move
- L••••• A•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Jan 2, 2014, registered Jan 14, 2014 (12 days) · Other
- P•••• S••••••••• L•• to L••••• A•••••••• L••left Apr 16, 2012, registered May 30, 2012 (44 days) · Other
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address