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.
A••• D•••••• L•••••••
- A•••• C•••••• C•••• BD affiliated currentsince Jul 27, 2021 · Lighthouse Point, Fl
- R••••• S••••••••• L•• unclassifiedJan 26, 2011 to Oct 9, 2013 · New York, Ny
- B• R•••• W••••• A•••••••• I••• BD affiliatedNov 14, 2007 to Jul 8, 2010 · Boca Raton, Fl
- N••• C••••••••• BD affiliatedDec 20, 2006 to Aug 23, 2007 · Boca Raton, Fl
- R••••• S••••••••• L•• to A•••• C•••••• C••••left Oct 9, 2013, registered Jul 27, 2021 (2848 days) · Other
- B• R•••• W••••• A•••••••• I••• to R••••• S••••••••• L••left Jul 8, 2010, registered Jan 26, 2011 (202 days) · Other
- N••• C••••••••• to B• R•••• W••••• A•••••••• I•••left Aug 23, 2007, registered Nov 14, 2007 (83 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address