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••••••• independent RIA currentsince Jul 5, 2018 · Coral Springs, Fl
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedAug 28, 2017 to Dec 31, 2019 · Coral Springs, Fl
- H••••• R•••• formerMay 23, 2017 to Jul 10, 2018 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseOct 25, 2013 to Jan 18, 2017 · Coral Springs, Fl
- M••••• K••••• • C••••••• L•• formerJun 8, 2005 to Dec 1, 2011 · Fort Lauderdale, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 11, 2002 to Feb 23, 2004 · Palm Beach Gdns, Fl
- I••••••••• A••••• I••••••••• M••••••••• L•• to O•••••••left Dec 31, 2019, registered Jul 5, 2018 (-544 days) · Affiliated broker-dealer or bank to independent RIA
- H••••• R•••• to I••••••••• A••••• I••••••••• M••••••••• L••left Jul 10, 2018, registered Aug 28, 2017 (-316 days) · Other
- W•••• F•••• A••••••• to H••••• R••••left Jan 18, 2017, registered May 23, 2017 (125 days) · Other · moved with a team
- M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••left Dec 1, 2011, registered Oct 25, 2013 (694 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Feb 23, 2004, registered Jun 8, 2005 (471 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address