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.
S••••• D•••• A••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 8, 2017 · Boca Raton, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 25, 2017 · Boca Raton, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 13, 2007 to Jun 1, 2009 · Boca Raton, Fl
- B•••• S••••• S•••••• F•••••••• A•••••••• L•• independent RIAJun 3, 2003 to Oct 15, 2004 · Ft. Lauderdale, Fl
- A•••• C•••••• M••••••••• unclassifiedMay 2, 2002 to Jan 14, 2008 · Boca Raton, Fl
- A•••• C•••••• M••••••••• unclassifiedMay 2, 2002 to Dec 31, 2005 · Boca Raton, Fl
- M••••• S•••••• C••••••••• unclassifiedApr 16, 1998 to Mar 6, 2003 · Boca Raton, Fl
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 25, 2017, registered Mar 8, 2017 (42 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A•••• C•••••• M••••••••• to B•••• S••••• S•••••• F•••••••• A•••••••• L••left Jan 14, 2008, registered Jun 3, 2003 (-1686 days) · Other
- B•••• S••••• S•••••• F•••••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Oct 15, 2004, registered Jun 13, 2007 (971 days) · Other
- M••••• S•••••• C••••••••• to A•••• C•••••• M•••••••••left Mar 6, 2003, registered May 2, 2002 (-308 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