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••• H••••• B••••••••
- P•••••••• A••••••• national BD currentsince Mar 19, 2020 · Boynton Beach, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 24, 2015 to Apr 16, 2018 · Boca Raton, Fl
- C••••••• F•••••••• D••••••• I••• BD affiliatedNov 23, 2011 to Sep 3, 2013 · Parkland, Fl
- S•••••••• I••••••••• N•••• I••• state registeredOct 18, 2011 to Nov 11, 2011 · Boca Raton, Fl
- M•• I•••••••• S•••••••• L•• to P•••••••• A•••••••left Apr 16, 2018, registered Mar 19, 2020 (703 days) · Affiliated broker-dealer or bank to another
- C••••••• F•••••••• D••••••• I••• to M•• I•••••••• S•••••••• L••left Sep 3, 2013, registered Jun 24, 2015 (659 days) · Other
- S•••••••• I••••••••• N•••• I••• to C••••••• F•••••••• D••••••• I•••left Nov 11, 2011, registered Nov 23, 2011 (12 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address