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.
W•••••• E• W•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 23, 2020 · Boca Raton, Fl
- A•••• C•••••• C•••• BD affiliatedOct 31, 2014 to Mar 25, 2020 · Boca Raton, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 16, 2004 to Oct 29, 2014 · Boca Raton, Fl
- C•••••• S••••• • C••• I••• national BDApr 29, 1998 to Aug 18, 2004 · Boca Raton, Fl
- A•••• C•••••• C•••• to A••••••••• F•••••••• S•••••••• L••left Mar 25, 2020, registered Mar 23, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to A•••• C•••••• C••••left Oct 29, 2014, registered Oct 31, 2014 (2 days) · Other
- C•••••• S••••• • C••• I••• to U•• F•••••••• S••••••• I•••left Aug 18, 2004, registered Dec 16, 2004 (120 days) · Affiliated broker-dealer or bank to wirehouse
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