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.
K••••• P••••••• S•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 11, 2020 · Stuart, Fl
- E••••• J•••• national BDAug 22, 2016 to Sep 11, 2020 · Jensen Beach, Fl
- W•••• F•••• A••••••• wirehouseNov 17, 2011 to Aug 24, 2016 · Fort P•••••, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Nov 17, 2011 · Stuart, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 26, 2006 to Oct 23, 2009 · Stuart, Fl
- W•••• F•••• A••••••• wirehouseMay 2, 2006 to Oct 18, 2006 · Stuart, Fl
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 11, 2020, registered Sep 11, 2020 (0 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to E••••• J••••left Aug 24, 2016, registered Aug 22, 2016 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Nov 17, 2011, registered Nov 17, 2011 (0 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 18, 2006, registered Oct 26, 2006 (8 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address