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.
S••• C• S•••
- O••••••••• • C•• I••• BD affiliated currentsince Oct 4, 2017 · North Palm Beach, Fl
- W•••• F•••• A••••••• wirehouseJan 19, 2005 to Jun 8, 2017 · Boca Raton, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Nov 16, 2004 · West Palm Beach, Fl
- Q•••• • R•••••• I••• unclassifiedMay 11, 2004 to Oct 20, 2004 · Palm Beach, Fl
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Jun 8, 2017, registered Oct 4, 2017 (118 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 16, 2004, registered Jan 19, 2005 (64 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (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
- 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