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.
M•••••• A•• B•••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 9, 2018 · Stuart, Fl
- P•• W••••• M••••••••• BD affiliatedSep 16, 2013 to Nov 20, 2018 · Stuart, Fl
- B••• I••••••••• S•••••••• I••• formerNov 1, 2012 to Aug 30, 2013 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedMay 24, 2010 to Oct 12, 2012 · Palm City, Fl
- F•••• C•••••• F•••••••• P•••••••• I••• formerNov 21, 2008 to May 5, 2010 · Indian Harbour Beach, Fl
- C••••••••• I••••••••• S•••••••• I••• unclassifiedJan 30, 2008 to Sep 4, 2008 · Fort Lauderdale, Fl
- A• G• E•••••• • S•••• I••• unclassifiedJun 7, 2004 to Dec 11, 2006 · Stuart, Fl
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Nov 20, 2018, registered Nov 9, 2018 (-11 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Aug 30, 2013, registered Sep 16, 2013 (17 days) · Other
- L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••left Oct 12, 2012, registered Nov 1, 2012 (20 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to L•• F•••••••• L••left May 5, 2010, registered May 24, 2010 (19 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 4, 2008, registered Nov 21, 2008 (78 days) · Other
- A• G• E•••••• • S•••• I••• to C••••••••• I••••••••• S•••••••• I•••left Dec 11, 2006, registered Jan 30, 2008 (415 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