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.
E•••••• S•••• Y••••••••
- L•••••••• G••••• A•••••••• L•• independent RIA currentsince Sep 10, 2020 · Hauppauge, Ny
- A••••• P•••••• A•••••••• L•• formerNov 14, 2018 to Feb 4, 2020 · Boynton Beach, Fl
- C•••••• G••••••• W••••• M••••••••• L•• formerJun 25, 2009 to Nov 15, 2018 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 15, 2002 to May 28, 2009 · Delray Beach, Fl
- A••••• P•••••• A•••••••• L•• to L•••••••• G••••• A•••••••• L••left Feb 4, 2020, registered Sep 10, 2020 (219 days) · RIA to RIA · moved with a team
- C•••••• G••••••• W••••• M••••••••• L•• to A••••• P•••••• A•••••••• L••left Nov 15, 2018, registered Nov 14, 2018 (-1 days) · RIA to a newly registered adviser · moved with a team
- C•••••••• G••••• M•••••• I••• to C•••••• G••••••• W••••• M••••••••• L••left May 28, 2009, registered Jun 25, 2009 (28 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address