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.
J••• B••• W••••••••
- P•••••••• A••••••• national BD currentsince Oct 26, 2020 · Troy, Mi
- O••••••••• • C•• I••• BD affiliatedJan 10, 2017 to Nov 2, 2018 · Boca Raton, Fl
- A•••••• I••• unclassifiedMar 19, 2003 to Jan 14, 2004 · Boca Raton, Fl
- I••••••••• P•••••••• C••••••••• I••• formerNov 13, 2002 to Nov 16, 2016 · Boca Raton, Fl
- O••••••••• • C•• I••• to P•••••••• A•••••••left Nov 2, 2018, registered Oct 26, 2020 (724 days) · Affiliated broker-dealer or bank to another
- I••••••••• P•••••••• C••••••••• I••• to A•••••• I•••left Nov 16, 2016, registered Mar 19, 2003 (-4991 days) · Other
- A•••••• I••• to O••••••••• • C•• I•••left Jan 14, 2004, registered Jan 10, 2017 (4745 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address