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.
O••• L•••• D• V••••
- S•• W••••• independent RIA currentsince Feb 17, 2021 · Palm Beach Gardens, Fl
- P•••• S••••••••• L•• no RAUMJul 13, 2018 to Jan 13, 2021 · Port St. Lucie, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to May 9, 2018 · Port St. Lucie, Fl
- M•• F•••••••• S•••••••• I••• formerApr 23, 2012 to Mar 25, 2017 · Port St. Lucie, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 7, 2003 to Jun 1, 2009 · Boca Raton, Fl
- P•••• S••••••••• L•• to S•• W•••••left Jan 13, 2021, registered Feb 17, 2021 (35 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left May 9, 2018, registered Jul 13, 2018 (65 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••left Jun 1, 2009, registered Apr 23, 2012 (1057 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address