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.
P••••••• M•••• O••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 23, 2015 · Boca Raton, Fl
- D••••••• B••• S••••••••• I••• no RAUMApr 9, 2012 to Apr 8, 2015 · Palm Beach, Fl
- M••••• K••••• • C••••••• L•• formerNov 16, 2011 to Mar 19, 2012 · Ft. Lauderdale, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 19, 2011 · Delray Beach, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 6, 2004 to Jun 1, 2009 · Delray Beach, Fl
- D••••••• B••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 8, 2015, registered Mar 23, 2015 (-16 days) · Other · moved with a team
- M••••• K••••• • C••••••• L•• to D••••••• B••• S••••••••• I•••left Mar 19, 2012, registered Apr 9, 2012 (21 days) · Other
- M••••• S•••••• to M••••• K••••• • C••••••• L••left Oct 19, 2011, registered Nov 16, 2011 (28 days) · Other
- 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address