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.
T•• E••• S•••••••
- R•• W••••• B•••••••• I••• independent RIA currentsince Nov 30, 2020 · Montclair, Nj
- C••••• • A••••••••• I••• independent RIAJan 5, 2015 to May 31, 2023 · Doral, Fl
- W••••••• F•••••••• S•••••••• I••• formerMar 6, 2008 to Jan 9, 2015 · Palmetto Bay, Fl
- P••• A••••• S••••••••• L•• BD affiliatedOct 12, 2007 to Mar 13, 2008 · Palmetto Bay, Fl
- P••• A••••• S••••••••• L•• BD affiliatedJan 2, 2004 to Oct 10, 2007 · Coral Gables, Fl
- D•••• • C• A•••••••• I••• unclassifiedApr 17, 2000 to Dec 31, 2003 · Virginia Beach, Va
- C••••• • A••••••••• I••• to R•• W••••• B•••••••• I•••left May 31, 2023, registered Nov 30, 2020 (-912 days) · Affiliated broker-dealer or bank to independent RIA
- W••••••• F•••••••• S•••••••• I••• to C••••• • A••••••••• I•••left Jan 9, 2015, registered Jan 5, 2015 (-4 days) · Other
- P••• A••••• S••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Mar 13, 2008, registered Mar 6, 2008 (-7 days) · Other
- D•••• • C• A•••••••• I••• to P••• A••••• S••••••••• L••left Dec 31, 2003, registered Jan 2, 2004 (2 days) · Other
- T•• E••• S••••••• left C••••• • A••••••••• I••• for R•• W••••• B•••••••• I••• (registered 2020-11-30)May 31, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address