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•••••• BD affiliated currentsince Apr 24, 2024 · Palm Beach Gardens, Fl
- L•• F•••••••• L•• BD affiliatedNov 26, 2019 to Feb 5, 2020 · Ft Lauderdale, Fl
- T• P•••••• C••••• W••••• L•• BD affiliatedSep 22, 2014 to Mar 28, 2016 · Ft. Lauderdale, Fl
- P•• C•••••• A••••••• L•• otherMay 25, 2012 to Jul 12, 2013 · Boca Raton, Fl
- W•••• F•••• A••••••• wirehouseJan 16, 2009 to Jul 7, 2010 · Fort Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 7, 2003 to Apr 6, 2004 · New Haven, Ct
- L•• F•••••••• L•• to M••••••left Feb 5, 2020, registered Apr 24, 2024 (1540 days) · Affiliated broker-dealer or bank to another
- T• P•••••• C••••• W••••• L•• to L•• F•••••••• L••left Mar 28, 2016, registered Nov 26, 2019 (1338 days) · Other
- P•• C•••••• A••••••• L•• to T• P•••••• C••••• W••••• L••left Jul 12, 2013, registered Sep 22, 2014 (437 days) · Other
- W•••• F•••• A••••••• to P•• C•••••• A••••••• L••left Jul 7, 2010, registered May 25, 2012 (688 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 6, 2004, registered Jan 16, 2009 (1746 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address