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.
D•••••• D• D•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 4, 2012 · Palm Beach Gardens, Fl
- O••••••••• • C•• I••• BD affiliatedMar 20, 2007 to Sep 4, 2012 · North Palm Beach, Fl
- U•• F•••••••• S••••••• I••• wirehouseAug 30, 2002 to Mar 28, 2007 · Palm Beach Gardens, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 1992 to Sep 6, 2002 · Jupiter, Fl
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 4, 2012, registered Sep 4, 2012 (0 days) · Other
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Mar 28, 2007, registered Mar 20, 2007 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 6, 2002, registered Aug 30, 2002 (-7 days) · Wirehouse to wirehouse
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