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.
D••••• F•••••• W••••
- C••••••••• W••••• independent RIA currentsince Nov 7, 2018 · Stuart, Fl
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Mar 4, 2019 · Stuart, Fl
- I••••• F•••••••• C••••••••• formerJul 13, 2007 to Feb 15, 2018 · Boca Raton, Fl
- T••••••• C•••• F•••••••• S••••••• unclassifiedApr 27, 1999 to Dec 12, 2007 · Stuart, Fl
- M••••• S•••••• C••••••••• unclassifiedFeb 13, 1995 to Jul 16, 2007 · Stuart, Fl
- L•• F•••••••• L•• to C••••••••• W•••••left Mar 4, 2019, registered Nov 7, 2018 (-117 days) · RIA to RIA
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
- T••••••• C•••• F•••••••• S••••••• to I••••• F•••••••• C•••••••••left Dec 12, 2007, registered Jul 13, 2007 (-152 days) · Other
- M••••• S•••••• C••••••••• to T••••••• C•••• F•••••••• S•••••••left Jul 16, 2007, registered Apr 27, 1999 (-3002 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address