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•••• J••••• C••••••
- N••••••• T•••• S••••••••• I•• BD affiliated currentsince Nov 23, 2016 · Tequesta, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedAug 13, 2007 to Jul 28, 2011 · Palm Beach Gardens, Fl
- U•• F•••••••• S••••••• I••• wirehouseAug 2, 2007 to Aug 21, 2007 · Palm Beach Gardens, Fl
- M••••• K••••• • C••••••• L•• formerMay 2, 2005 to Oct 18, 2006 · Palm Beach, Fl
- M••••• S•••••• D• I••• unclassifiedMay 28, 2003 to May 2, 2005 · N. Palm Bch., Fl
- U•• F•••••••• S••••••• I••• wirehouseOct 27, 1998 to Jun 3, 2003 · North Palm Beac, Fl
- J••••• M••••••••• S•••• L•• to N••••••• T•••• S••••••••• I••left Jul 28, 2011, registered Nov 23, 2016 (1945 days) · Other
- U•• F•••••••• S••••••• I••• to J••••• M••••••••• S•••• L••left Aug 21, 2007, registered Aug 13, 2007 (-8 days) · Other
- M••••• K••••• • C••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 18, 2006, registered Aug 2, 2007 (288 days) · Other
- M••••• S•••••• D• I••• to M••••• K••••• • C••••••• L••left May 2, 2005, registered May 2, 2005 (0 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Jun 3, 2003, registered May 28, 2003 (-6 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address