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.
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G••• G••••• V•••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Oct 6, 2022 · Palm Beach Gardens, Fl
- R•••••• J•••• • A••••••••• I••• national BDJul 11, 2014 to Oct 20, 2022 · Palm Beach Gardens, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 5, 2008 to Jul 14, 2014 · Palm Beach Gardens, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Dec 5, 2008 · Palm Beach, Fl
- P••••••••• E••••• G••••• L•• unclassifiedNov 25, 1997 to Jul 1, 2003 · Palm Beach, Fl
- R•••••• J•••• • A••••••••• I••• to J••••• M••••••••• S•••• L••left Oct 20, 2022, registered Oct 6, 2022 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 14, 2014, registered Jul 11, 2014 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Dec 5, 2008, registered Dec 5, 2008 (0 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- G••• G••••• V••••• left R•••••• J•••• • A••••••••• I••• for J••••• M••••••••• S•••• L•• (registered 2022-10-06)Oct 20, 2022 · Advisor changed firm · fact
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