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.
M•••••• S••••• G•••
- A•••• C•••••• C•••• BD affiliated currentsince Jul 6, 2021 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedFeb 1, 2013 to Nov 9, 2016 · Fort Lauderdale, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJan 24, 2011 to Feb 1, 2013 · Ft Lauderdale, Fl
- O••••••••• • C•• I••• BD affiliatedMay 8, 2006 to Jan 19, 2011 · Fort Lauderdale, Fl
- O••••••••• • C•• I••• to A•••• C•••••• C••••left Nov 9, 2016, registered Jul 6, 2021 (1700 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• • C•• I•••left Feb 1, 2013, registered Feb 1, 2013 (0 days) · Other
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 19, 2011, registered Jan 24, 2011 (5 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address