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.
A••••• B••••••
- N•••••• A••••••• BD affiliated currentsince Mar 9, 2022 · New Orleans, La
- O••••••••• • C•• I••• BD affiliatedDec 17, 2007 to Mar 11, 2022 · Boca Raton, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 2001 to Dec 19, 2007 · Delray Beach, Fl
- O••••••••• • C•• I••• to N•••••• A•••••••left Mar 11, 2022, registered Mar 9, 2022 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• G••••• M•••••• I••• to O••••••••• • C•• I•••left Dec 19, 2007, registered Dec 17, 2007 (-2 days) · Other
- A••••• B•••••• left O••••••••• • C•• I••• for N•••••• A••••••• (registered 2022-03-09)Mar 11, 2022 · Advisor changed firm · fact
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