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.
R••• N•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Davie, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 1, 2020 to Mar 31, 2025 · Coral Gables, Fl
- H••• S••••••••• •••• I••• BD affiliatedMar 24, 2014 to Jun 5, 2020 · Fort Lauderdale, Fl
- L•• F•••••••• L•• BD affiliatedDec 20, 2012 to Jan 8, 2013 · Coral Springs, Fl
- A••••• A•• P••••••• S••••••• BD affiliatedSep 14, 2012 to Mar 3, 2014 · Boca Raton, Fl
- S••••••• I••••••••• S•••••••• I••• formerMar 4, 2008 to Aug 24, 2012 · Miramar, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 21, 2007 to Feb 28, 2008 · Ft. Lauderdale, Fl
- T• A••••••••• I••• formerNov 21, 2007 to Feb 28, 2008 · Fort Lauderdale, Fl
- C•••••• S••••• • C••• I••• national BDJul 27, 1995 to Oct 10, 2007 · Coral Gables, Fl
- 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
- H••• S••••••••• •••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 5, 2020, registered Jul 1, 2020 (26 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Mar 3, 2014, registered Dec 20, 2012 (-438 days) · Other
- L•• F•••••••• L•• to H••• S••••••••• •••• I•••left Jan 8, 2013, registered Mar 24, 2014 (440 days) · Other
- S••••••• I••••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Aug 24, 2012, registered Sep 14, 2012 (21 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 28, 2008, registered Nov 21, 2007 (-99 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Feb 28, 2008, registered Mar 4, 2008 (5 days) · Other
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Oct 10, 2007, registered Nov 21, 2007 (42 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address