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.
M••• R•••••• M•••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 3, 2015 · Jupiter, Fl
- T• P•••••• C••••• W••••• L•• BD affiliatedMay 29, 2013 to Jul 27, 2015 · Ft. Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 14, 2010 to May 16, 2013 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 17, 2009 · Fort Lauderdale, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 17, 2001 to Oct 23, 2009 · Ft. Lauderdale, Fl
- T• P•••••• C••••• W••••• L•• to W•••• F•••• A•••••••left Jul 27, 2015, registered Nov 3, 2015 (99 days) · Other
- C•••••••• G••••• M•••••• I••• to T• P•••••• C••••• W••••• L••left May 16, 2013, registered May 29, 2013 (13 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Dec 17, 2009, registered Jan 14, 2010 (28 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address