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.
K•••• W••••• L••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 30, 2017 · Stuart, Fl
- W•••• F•••• A••••••• wirehouseAug 12, 2013 to Jul 6, 2017 · Boca Raton, Fl
- P•• W••••• M••••••••• BD affiliatedJul 26, 2011 to Aug 13, 2013 · Stuart, Fl
- 1•••• E•••••••• D••••• I••• unclassifiedAug 2, 2010 to Feb 3, 2011 · Jupiter, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 8, 2009 · Stuart, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 21, 2001 to Jun 1, 2009 · Stuart, Fl
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 6, 2017, registered Jun 30, 2017 (-6 days) · Wirehouse to wirehouse · moved with a team
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Aug 13, 2013, registered Aug 12, 2013 (-1 days) · Other
- 1•••• E•••••••• D••••• I••• to P•• W••••• M•••••••••left Feb 3, 2011, registered Jul 26, 2011 (173 days) · Other
- M••••• S•••••• to 1•••• E•••••••• D••••• I•••left Oct 8, 2009, registered Aug 2, 2010 (298 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address