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.
R••• S•••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Jul 19, 2016 · Palm Beach Gardens, Fl
- O••••••••• • C•• I••• BD affiliatedOct 25, 2012 to Jul 20, 2016 · North Palm Beach, Fl
- U•• F•••••••• S••••••• I••• wirehouseJul 13, 2004 to Aug 26, 2009 · Miami, Fl
- A• G• E•••••• • S•••• I••• unclassifiedNov 7, 2001 to Apr 22, 2004 · West Palm Beach, Fl
- O••••••••• • C•• I••• to J••••• M••••••••• S•••• L••left Jul 20, 2016, registered Jul 19, 2016 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Aug 26, 2009, registered Oct 25, 2012 (1156 days) · Other
- A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••left Apr 22, 2004, registered Jul 13, 2004 (82 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