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.
D••••• L••• W•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 16, 2021 · Plantation, Fl
- W•••• F•••• A••••••• wirehouseApr 2, 2014 to Oct 29, 2021 · Fort Lauderdale, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 26, 2007 to Mar 28, 2014 · Boca Raton, Fl
- O••••••••• • C•• I••• BD affiliatedJun 27, 2005 to Aug 24, 2007 · Fort Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 6, 2005 · Fort Lauderdale, Fl
- P••••••••• E••••• G••••• L•• unclassifiedJun 17, 1998 to Jul 1, 2003 · Ft Lauderdale, Fl
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Oct 29, 2021, registered Nov 16, 2021 (18 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 28, 2014, registered Apr 2, 2014 (5 days) · Wirehouse to wirehouse
- O••••••••• • C•• I••• to U•• F•••••••• S••••••• I•••left Aug 24, 2007, registered Nov 26, 2007 (94 days) · Other
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left May 6, 2005, registered Jun 27, 2005 (52 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address