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•••• E••••
- N••• C••••••••• BD affiliated currentsince Dec 11, 2017 · Boca Raton, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedNov 18, 2016 to Sep 6, 2017 · Boca Raton, Fl
- S••••••• I••••••••• S•••••••• I••• formerMar 5, 2015 to Dec 31, 2016 · Boca Raton, Fl
- W•••• F•••• A••••••• wirehouseJan 17, 2012 to Mar 5, 2015 · Fort Lauderdale, Fl
- M••••• K••••• • C••••••• L•• formerMay 20, 2010 to Jan 13, 2012 · Ft. Lauderdale, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to May 26, 2010 · Palm Beach, Fl
- M••••• S•••••• • C•• L•• unclassifiedAug 16, 2007 to Jun 1, 2009 · Palm Beach, Fl
- T••••• A••••••• S•••••••• I••• to N••• C•••••••••left Sep 6, 2017, registered Dec 11, 2017 (96 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Nov 18, 2016 (-43 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Mar 5, 2015, registered Mar 5, 2015 (0 days) · Other
- M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••left Jan 13, 2012, registered Jan 17, 2012 (4 days) · Other
- M••••• S•••••• to M••••• K••••• • C••••••• L••left May 26, 2010, registered May 20, 2010 (-6 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address