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.
J•••• L••• R••••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Nov 10, 2015 · Wellington, Fl
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Nov 2, 2015 · West Palm Beach, Fl
- N•• E•••••• S••••••••• C••••••••• formerJan 25, 2012 to Jan 2, 2015 · Coral Gables, Fl
- N••• C••••••••• BD affiliatedDec 10, 2009 to Jan 3, 2012 · Boca Raton, Fl
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Nov 3, 2009 · Phoenix, Az
- S••••• S••••••••• C••••••••• unclassifiedAug 26, 2002 to Oct 31, 2005 · Juno Beach, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 1993 to Aug 28, 2002 · Wellington, Fl
- M•• F•••••••• S•••••••• I••• to A••••••• F•••••••• A•••••••• L••left Nov 2, 2015, registered Nov 10, 2015 (8 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- N••• C••••••••• to N•• E•••••• S••••••••• C•••••••••left Jan 3, 2012, registered Jan 25, 2012 (22 days) · Other
- S•••••••• F••••••••• I••• to N••• C•••••••••left Nov 3, 2009, registered Dec 10, 2009 (37 days) · Other
- S••••• S••••••••• C••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to S••••• S••••••••• C•••••••••left Aug 28, 2002, registered Aug 26, 2002 (-2 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address