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•••••• J•• D•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 24, 2018 · Fort Lauderdale, Fl
- F•••••• 3•• G•••• L•• formerMar 23, 2016 to May 31, 2018 · Plantation, Fl
- A••••••••• I••••••• S•••••••• I••• state registeredSep 13, 2012 to Jul 2, 2015 · Ft. Lauderdale, Fl
- I••••••••• A••••••• S••••••• I•• formerAug 10, 2012 to Jun 8, 2018 · Fort Lauderdale, Fl
- N•• C•••••• F•••••••• G••••• L•• formerSep 4, 2009 to Aug 17, 2010 · Fort Lauderdale, Fl
- D••••• F•••••••• unclassifiedJul 7, 2005 to Aug 20, 2012 · Fort Lauderdale, Fl
- O•••• W•••••• I••• BD affiliatedNov 14, 2003 to Aug 2, 2012 · Pompano Beach, Fl
- B•• M••••• S••••••••• C••••••••• otherOct 17, 2001 to Nov 3, 2003 · Coral Gables, Fl
- I••••••••• A••••••• S••••••• I•• to A••••••••• I••••••• S•••••••• I•••left Jun 8, 2018, registered Sep 13, 2012 (-2094 days) · Affiliated broker-dealer or bank to a state-registered adviser
- F•••••• 3•• G•••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 31, 2018, registered May 24, 2018 (-7 days) · RIA to affiliated broker-dealer or bank
- A••••••••• I••••••• S•••••••• I••• to F•••••• 3•• G•••• L••left Jul 2, 2015, registered Mar 23, 2016 (265 days) · Other · moved with a team
- D••••• F•••••••• to N•• C•••••• F•••••••• G••••• L••left Aug 20, 2012, registered Sep 4, 2009 (-1081 days) · Other
- O•••• W•••••• I••• to D••••• F••••••••left Aug 2, 2012, registered Jul 7, 2005 (-2583 days) · Other
- N•• C•••••• F•••••••• G••••• L•• to I••••••••• A••••••• S••••••• I••left Aug 17, 2010, registered Aug 10, 2012 (724 days) · Other
- B•• M••••• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2003, registered Nov 14, 2003 (11 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address