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.
R••••• A•••• O••••••
- P••••••• W••••• P•••••••• L•• state registered currentsince Dec 10, 2018 · Hollywood, Fl
- A•••••• W••••• A••••••• independent RIAApr 24, 2013 to Mar 22, 2019 · Hollywood, Fl
- L•• F•••••••• L•• BD affiliatedDec 5, 2005 to Jun 28, 2013 · Hollywood, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDDec 18, 1997 to Dec 1, 2005 · Hollywood, Fl
- A•••••• W••••• A••••••• to P••••••• W••••• P•••••••• L••left Mar 22, 2019, registered Dec 10, 2018 (-102 days) · RIA to a state-registered adviser
- L•• F•••••••• L•• to A•••••• W••••• A•••••••left Jun 28, 2013, registered Apr 24, 2013 (-65 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 1, 2005, registered Dec 5, 2005 (4 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address