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••••• M••••••
- E••••• J•••• national BD currentsince May 28, 2019 · West Palm Beach, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to May 28, 2019 · West Palm Beach, Fl
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · West Palm Beach, Fl
- N•• E•••••• S••••••••• C••••••••• formerJan 26, 2012 to Jan 2, 2015 · Coral Gables, Fl
- N••• C••••••••• BD affiliatedMar 18, 2009 to Nov 29, 2011 · Boca Raton, Fl
- W••••••••• F•••••••• A••••••• C••• independent RIAFeb 10, 2003 to Feb 18, 2009 · Dayton, Oh
- M•• I•••••••• S•••••••• L•• to E••••• J••••left May 28, 2019, registered May 28, 2019 (0 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
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- N••• C••••••••• to N•• E•••••• S••••••••• C•••••••••left Nov 29, 2011, registered Jan 26, 2012 (58 days) · Other
- W••••••••• F•••••••• A••••••• C••• to N••• C•••••••••left Feb 18, 2009, registered Mar 18, 2009 (28 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address