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.
A••••• D••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Deerfield Beach, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 13, 2020 to Mar 31, 2025 · Ft. Lauderdale, Fl
- L•• F•••••••• L•• BD affiliatedFeb 22, 2016 to Aug 11, 2020 · Deerfield Beach, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 17, 2014 to Feb 10, 2016 · Chandler, Az
- W•••• F•••• A••••••• wirehouseOct 13, 2011 to Feb 11, 2013 · Fort Lauderdale, Fl
- A••••••• A•••• M••••••••• I••• mixed wealthSep 21, 2010 to Apr 29, 2011 · New York, Ny
- C••••• C••••••• L•• formerNov 26, 2003 to Oct 20, 2009 · Denver, Co
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 11, 2020, registered Aug 13, 2020 (2 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Feb 10, 2016, registered Feb 22, 2016 (12 days) · Other
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 11, 2013, registered Nov 17, 2014 (644 days) · Other
- A••••••• A•••• M••••••••• I••• to W•••• F•••• A•••••••left Apr 29, 2011, registered Oct 13, 2011 (167 days) · Other
- C••••• C••••••• L•• to A••••••• A•••• M••••••••• I•••left Oct 20, 2009, registered Sep 21, 2010 (336 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address