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.
W•••••• F• C•••••••
- P••••••• I••••••••• L•• BD affiliated currentsince Sep 20, 2021 · West Palm Beach, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJan 14, 2011 to Sep 14, 2021 · Aventura, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 21, 2011 · W. Palm Beach, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · W. Palm Beach, Fl
- M••••• S•••••• D• I••• unclassifiedOct 4, 2006 to Apr 2, 2007 · Wst. Plm Bch, Fl
- A••••••••• F•••••••• S•••••••• L•• to P••••••• I••••••••• L••left Sep 14, 2021, registered Sep 20, 2021 (6 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jan 21, 2011, registered Jan 14, 2011 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address