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•••••••• A••• N•••••
- M••••• S•••••• wirehouse currentsince Feb 6, 2014 · Naples, Fl
- C•••••• G••••••• W••••• M••••••••• L•• formerOct 2, 2012 to Jan 29, 2014 · Miami, Fl
- M••••• S•••••• wirehouseJul 28, 2011 to Aug 16, 2012 · W. Palm Beach, Fl
- R•••••• W••••• independent RIAAug 27, 2010 to May 23, 2011 · Boca Raton, Fl
- O•••• W•••••• I••• BD affiliatedMar 10, 2010 to Dec 31, 2010 · Naples, Fl
- O••••••••• • C•• I••• BD affiliatedMay 29, 2009 to Nov 2, 2009 · North Palm Beach, Fl
- S••••••• G•••• C•••••• unclassifiedJul 17, 2006 to Mar 17, 2009 · Boca Raton, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 30, 2004 to Jun 15, 2006 · West Palm Beach, Fl
- C•••••• G••••••• W••••• M••••••••• L•• to M••••• S••••••left Jan 29, 2014, registered Feb 6, 2014 (8 days) · Other
- M••••• S•••••• to C•••••• G••••••• W••••• M••••••••• L••left Aug 16, 2012, registered Oct 2, 2012 (47 days) · Other
- R•••••• W••••• to M••••• S••••••left May 23, 2011, registered Jul 28, 2011 (66 days) · Other
- O•••• W•••••• I••• to R•••••• W•••••left Dec 31, 2010, registered Aug 27, 2010 (-126 days) · Other
- O••••••••• • C•• I••• to O•••• W•••••• I•••left Nov 2, 2009, registered Mar 10, 2010 (128 days) · Other
- S••••••• G•••• C•••••• to O••••••••• • C•• I•••left Mar 17, 2009, registered May 29, 2009 (73 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• G•••• C••••••left Jun 15, 2006, registered Jul 17, 2006 (32 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address