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.
F••••••• K•• R•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 13, 2020 · Boca Raton, Fl
- S••••••• F•••••••• S•••••••• I••• formerSep 26, 2016 to Mar 13, 2020 · Boca Raton, Fl
- M•• F•••••••• S•••••••• I••• formerJan 15, 2014 to Sep 20, 2016 · Fort Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseOct 3, 2011 to Jan 21, 2014 · Fort Lauderdale, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 4, 2011 · Boca Raton, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 24, 2008 to Jun 1, 2009 · Boca Raton, Fl
- S••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 13, 2020, registered Mar 13, 2020 (0 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Sep 20, 2016, registered Sep 26, 2016 (6 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Jan 21, 2014, registered Jan 15, 2014 (-6 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Oct 4, 2011, registered Oct 3, 2011 (-1 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• 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
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address