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.
C•••••• W•••••• W••••••
- L•••••• I••••••••• independent RIA currentsince Jun 13, 2017 · West Palm Beach, Fl
- L••••• A•••••••• L•• formerAug 31, 2010 to Oct 4, 2019 · Palm Beach Gardens, Fl
- F• • S• A•••• M••••••••• G••••• I••• unclassifiedJan 17, 2008 to Nov 22, 2010 · West Palm Beach, Fl
- C••••••••• A•••••••• I•• formerOct 19, 2004 to Dec 31, 2007 · Boca Raton, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedDec 2, 2003 to May 3, 2004 · W Palm Beach, Fl
- W•••• F•••• A••••••• wirehouseJul 3, 2002 to Dec 18, 2002 · Charlotte, Nc
- L••••• A•••••••• L•• to L•••••• I•••••••••left Oct 4, 2019, registered Jun 13, 2017 (-843 days) · corporate re-registration, not a move
- F• • S• A•••• M••••••••• G••••• I••• to L••••• A•••••••• L••left Nov 22, 2010, registered Aug 31, 2010 (-83 days) · Other
- C••••••••• A•••••••• I•• to F• • S• A•••• M••••••••• G••••• I•••left Dec 31, 2007, registered Jan 17, 2008 (17 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to C••••••••• A•••••••• I••left May 3, 2004, registered Oct 19, 2004 (169 days) · Other
- W•••• F•••• A••••••• to T••••••••• F•••••••• A•••••••• L••left Dec 18, 2002, registered Dec 2, 2003 (349 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address