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•••••• A• R•••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 10, 2019 · Boca Raton, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 19, 2016 to Sep 12, 2019 · Delray Beach, Fl
- S••••••• I••••••••• S•••••••• I••• formerJun 20, 2016 to Dec 31, 2016 · Delray Beach, Fl
- U•• F•••••••• S••••••• I••• wirehouseApr 12, 2011 to Jul 5, 2016 · Boca Raton, Fl
- C•••••• S••••• • C••• I••• national BDSep 4, 2002 to Jan 31, 2011 · Boca Raton, Fl
- B•• M••••• S••••••••• C••••••••• otherMar 4, 1998 to Jul 12, 2002 · Coral Gables, Fl
- T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left Sep 12, 2019, registered Sep 10, 2019 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Aug 19, 2016 (-134 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jul 5, 2016, registered Jun 20, 2016 (-15 days) · Other
- C•••••• S••••• • C••• I••• to U•• F•••••••• S••••••• I•••left Jan 31, 2011, registered Apr 12, 2011 (71 days) · Affiliated broker-dealer or bank to wirehouse
- B•• M••••• S••••••••• C••••••••• to C•••••• S••••• • C••• I•••left Jul 12, 2002, registered Sep 4, 2002 (54 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address