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•••• J•••• K•••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 21, 2016 · Plantation, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedFeb 12, 2007 to Oct 21, 2016 · Boca Raton, Fl
- F•••••••• A••••••• G•••• L••••• independent RIANov 29, 2006 to Jan 9, 2007 · Gig Harbor, Wa
- W••• I••••••••• I••• unclassifiedJul 19, 2004 to Mar 17, 2005 · Miami, Fl
- E•••• N••••••• S••••••••• I••• formerJan 17, 2003 to Mar 19, 2004 · Coconut Creek, Fl
- J••••• M••••••••• S•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 21, 2016, registered Oct 21, 2016 (0 days) · Other
- F•••••••• A••••••• G•••• L••••• to J••••• M••••••••• S•••• L••left Jan 9, 2007, registered Feb 12, 2007 (34 days) · Other
- W••• I••••••••• I••• to F•••••••• A••••••• G•••• L•••••left Mar 17, 2005, registered Nov 29, 2006 (622 days) · Other
- E•••• N••••••• S••••••••• I••• to W••• I••••••••• I•••left Mar 19, 2004, registered Jul 19, 2004 (122 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