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.
N•••• J••• H•••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Boca Raton, Fl
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 2, 2018 · Boca Raton, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 23, 2008 to May 13, 2016 · St. Petersburg, Fl
- W••••• S••••• S••••••••• I••• formerNov 1, 2004 to Jul 25, 2008 · Boca Raton, Fl
- O•••• W•••••• I••• BD affiliatedSep 14, 2004 to Sep 30, 2004 · Del Ray, Fl
- H••• M••• S••••••••• I••• unclassifiedJun 7, 2004 to Sep 2, 2004 · Delray Beach, Fl
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- W••••• S••••• S••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jul 25, 2008, registered Jul 23, 2008 (-2 days) · Other
- O•••• W•••••• I••• to W••••• S••••• S••••••••• I•••left Sep 30, 2004, registered Nov 1, 2004 (32 days) · Other
- H••• M••• S••••••••• I••• to O•••• W•••••• I•••left Sep 2, 2004, registered Sep 14, 2004 (12 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address