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.
N••• A•••• S••••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 25, 2023 · Plantation, Fl
- U••••• C•••••• F•••••••• A••••••• independent RIASep 21, 2009 to Oct 27, 2023 · Ft Lauderdale, Fl
- C•••••• P••••••• G••••• L•• unclassifiedMay 9, 2000 to Nov 2, 2009 · Ft. Lauderdale, Fl
- U••••• C•••••• F•••••••• A••••••• to O•••• A••••••• S•••••••• L••left Oct 27, 2023, registered Sep 25, 2023 (-32 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••• P••••••• G••••• L•• to U••••• C•••••• F•••••••• A•••••••left Nov 2, 2009, registered Sep 21, 2009 (-42 days) · Other
- N••• A•••• S•••••• left U••••• C•••••• F•••••••• A••••••• for O•••• A••••••• S•••••••• L•• (registered 2023-09-25)Oct 27, 2023 · 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address