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••••• P• L••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · West Palm Beach, Fl
- S••••••••• A•••••• A•••••••• I••• formerJul 27, 2021 to Jun 14, 2024 · West Palm Beach, Fl
- P••• A••••• S••••••••• L•• BD affiliatedJul 20, 2012 to Aug 3, 2021 · Boca Raton, Fl
- M••••• S•••••• wirehouseAug 16, 2010 to Jul 3, 2012 · Stuart, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 8, 2009 to Aug 10, 2010 · Palm Beach Gardens, Fl
- J••• H•••••• I••••••••• M••••••••• L•• asset managerDec 13, 2002 to Mar 23, 2009 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerDec 13, 2002 to Mar 23, 2009 · Boswton, Ma
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Aug 3, 2021, registered Jul 27, 2021 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to P••• A••••• S••••••••• L••left Jul 3, 2012, registered Jul 20, 2012 (17 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left Aug 10, 2010, registered Aug 16, 2010 (6 days) · Affiliated broker-dealer or bank to wirehouse
- J••• H•••••• I••••••••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 23, 2009, registered Apr 8, 2009 (16 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Mar 23, 2009, registered Dec 13, 2002 (-2292 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address