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.
E••••• I•••••
- O••••••••• • C•• I••• BD affiliated currentsince Aug 7, 2014 · Boca Raton, Fl
- D••••••• B••• S••••••••• I••• no RAUMApr 9, 2012 to Jul 17, 2014 · Palm Beach, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 28, 2012 · Boca Raton, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 30, 1997 to Jun 1, 2009 · Boca Raton, Fl
- D••••••• B••• S••••••••• I••• to O••••••••• • C•• I•••left Jul 17, 2014, registered Aug 7, 2014 (21 days) · Other
- M••••• S•••••• to D••••••• B••• S••••••••• I•••left Mar 28, 2012, registered Apr 9, 2012 (12 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
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address