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.
D•••• K••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 9, 2024 · Boca Raton, Fl
- C••••• A•••••• N••••••• L•• formerMar 17, 2021 to Oct 1, 2021 · Boca Raton, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 9, 2019 to Oct 1, 2021 · Boca Raton, Fl
- S••••• F•••••••• G•••• I•• formerApr 14, 2017 to May 20, 2021 · Boca Raton, Fl
- I••••••••• A••••••• S••••••• I•• formerMar 16, 2016 to Mar 27, 2017 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 19, 2015 to Oct 16, 2015 · Boca Raton, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 16, 2014 to Jan 12, 2015 · Boca Raton, Fl
- C••••• I••••••••• A••••••• L•• to C••••• A•••••• N••••••• L••left Oct 1, 2021, registered Mar 17, 2021 (-198 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 1, 2021, registered Feb 9, 2024 (861 days) · Affiliated broker-dealer or bank to another
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jan 9, 2019 (-862 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••• F•••••••• G•••• I••left Mar 27, 2017, registered Apr 14, 2017 (18 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• A••••••• S••••••• I••left Oct 16, 2015, registered Mar 16, 2016 (152 days) · Other
- V•••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 12, 2015, registered Feb 19, 2015 (38 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address