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.
R•••••• W•••••• O••••••
- S••••••••• W••••• L•• independent RIA currentsince Aug 17, 2023 · Jupiter, Fl
- M••••• S•••••• wirehouseFeb 10, 2014 to Aug 2, 2023 · Palm Beach Gardens, Fl
- P•• W••••• M••••••••• BD affiliatedFeb 3, 2012 to Feb 4, 2014 · Palm Beach, Fl
- S••••••• G•••• C•••••• unclassifiedSep 10, 2007 to Mar 23, 2009 · Boca Raton, Fl
- M••••• S•••••• to S••••••••• W••••• L••left Aug 2, 2023, registered Aug 17, 2023 (15 days) · Wirehouse to independent RIA · moved with a team
- P•• W••••• M••••••••• to M••••• S••••••left Feb 4, 2014, registered Feb 10, 2014 (6 days) · Other
- S••••••• G•••• C•••••• to P•• W••••• M•••••••••left Mar 23, 2009, registered Feb 3, 2012 (1047 days) · Other
- R•••••• W•••••• O•••••• left M••••• S•••••• for S••••••••• W••••• L•• (registered 2023-08-17)Aug 2, 2023 · Advisor changed firm · fact
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address