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.
B•••• A• G•••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Apr 7, 2020 · Ft. Lauderdale, Fl
- B• R•••• W••••• A•••••••• I••• BD affiliatedApr 16, 2019 to Mar 26, 2020 · Boca Raton, Fl
- Q•••••• A•••• M••••••••• I••• formerJul 21, 2015 to Mar 6, 2019 · Palm Beach Gardens, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 24, 2014 to Jul 6, 2015 · Fort Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseFeb 19, 2014 to Apr 9, 2014 · Boca Raton, Fl
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Dec 2, 2013 · Palm Beach Gardens, Fl
- N•••••• I••••••••• I••• unclassifiedApr 8, 2009 to Nov 13, 2009 · West Palm Beach, Fl
- W••• I••••••••• I••• unclassifiedDec 12, 2008 to Feb 5, 2009 · Lake Worth, Fl
- B• R•••• W••••• A•••••••• I••• to C•••••••• G••••• M•••••• I•••left Mar 26, 2020, registered Apr 7, 2020 (12 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to B• R•••• W••••• A•••••••• I•••left Mar 6, 2019, registered Apr 16, 2019 (41 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Q•••••• A•••• M••••••••• I•••left Jul 6, 2015, registered Jul 21, 2015 (15 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 9, 2014, registered Jul 24, 2014 (106 days) · Wirehouse to wirehouse
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Dec 2, 2013, registered Feb 19, 2014 (79 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to N•••••• I••••••••• I•••left Feb 5, 2009, registered Apr 8, 2009 (62 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address