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.
S••••• B••••• M••••
- K••••• A•••••••• I••• BD affiliated currentsince Oct 4, 2019 · Ft. Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 22, 2017 to Sep 25, 2019 · Coral Springs, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedOct 24, 2016 to May 17, 2017 · Tamarac, Fl
- S••••••• I••••••••• S•••••••• I••• formerNov 23, 2005 to Dec 31, 2016 · Plantation, Fl
- C•••••••• G••••• M•••••• I••• to K••••• A•••••••• I•••left Sep 25, 2019, registered Oct 4, 2019 (9 days) · Affiliated broker-dealer or bank to another
- T••••• A••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left May 17, 2017, registered May 22, 2017 (5 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Oct 24, 2016 (-68 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address