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.
K•••• J••••• M••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Stuart, Fl
- W••••••• F•••••••• S•••••••• I••• formerFeb 21, 2018 to Jan 19, 2024 · Vero Beach, Fl
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Mar 16, 2018 · Vero Beach, Fl
- M••••• S•••••• C••••••••• unclassifiedOct 13, 1995 to Sep 24, 2009 · Boston, Ma
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Mar 16, 2018, registered Feb 21, 2018 (-23 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 24, 2009, registered Sep 8, 2009 (-16 days) · corporate re-registration, not a move
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address