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.
G••••• L••• S•••••••
- M••••• S•••••• wirehouse currentsince Jul 21, 2023 · Fort Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 13, 2014 to Jul 24, 2023 · Fort Lauderdale, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 16, 2014 · Ft. Lauderdale, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Ft. Lauderdale, Fl
- M••••• S•••••• D• I••• unclassifiedMay 15, 2006 to Apr 2, 2007 · Ft. Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 23, 2004 to May 22, 2006 · Boca Raton, Fl
- N••••••• T•••• S••••••••• I•• BD affiliatedAug 8, 2001 to Sep 2, 2004 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 24, 2023, registered Jul 21, 2023 (-3 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 16, 2014, registered Jan 13, 2014 (-3 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left May 22, 2006, registered May 15, 2006 (-7 days) · Other
- N••••••• T•••• S••••••••• I•• to C•••••••• G••••• M•••••• I•••left Sep 2, 2004, registered Sep 23, 2004 (21 days) · Other
- G••••• L••• S••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2023-07-21)Jul 24, 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
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address