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•••••• D•••• E•••••
- S•••• W••••• M••••••••• L•• BD affiliated currentsince Feb 15, 2018 · Fort Lauderdale, Fl
- S••••••••• A•••••• A•••••••• I••• formerDec 14, 2017 to Jan 12, 2018 · Fort Lauderdale, Fl
- S••••••• A•••• M••••••••• L•• formerMay 27, 2014 to Apr 26, 2016 · Boca Raton, Fl
- I••••• F•••••••• C••••••••• formerFeb 28, 2014 to May 7, 2014 · Fort Lauderdale, Fl
- A••••• A•• P••••••• S••••••• BD affiliatedMar 8, 2013 to Aug 7, 2013 · Tampa, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 10, 2012 to Jan 17, 2013 · Boca Raton, Fl
- S•••••••• A••••••• L•• national BDJun 20, 2006 to Aug 16, 2012 · Naples, Fl
- S••••••••• A•••••• A•••••••• I••• to S•••• W••••• M••••••••• L••left Jan 12, 2018, registered Feb 15, 2018 (34 days) · Other · moved with a team
- S••••••• A•••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 26, 2016, registered Dec 14, 2017 (597 days) · Other
- I••••• F•••••••• C••••••••• to S••••••• A•••• M••••••••• L••left May 7, 2014, registered May 27, 2014 (20 days) · Other
- A••••• A•• P••••••• S••••••• to I••••• F•••••••• C•••••••••left Aug 7, 2013, registered Feb 28, 2014 (205 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Jan 17, 2013, registered Mar 8, 2013 (50 days) · Other
- S•••••••• A••••••• L•• to V•••• F•••••••• A•••••••• I•••left Aug 16, 2012, registered Oct 10, 2012 (55 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address