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.
B•••• P••• K••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 27, 2019 · Miami, Fl
- B••• S••••••••• L•• formerMar 14, 2018 to Mar 4, 2019 · Boca Raton, Fl
- W•••• F•••• A••••••• wirehouseApr 21, 2015 to Mar 12, 2018 · Boca Raton, Fl
- M••••• S•••••• wirehouseJul 30, 2013 to Apr 27, 2015 · Boca Raton, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 24, 2008 to Jul 25, 2013 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 13, 2007 · Coral Springs, Fl
- C••••••• I••••••••• S••••••• unclassifiedSep 20, 2004 to May 29, 2007 · Miami, Fl
- B••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 4, 2019, registered Mar 27, 2019 (23 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to B••• S••••••••• L••left Mar 12, 2018, registered Mar 14, 2018 (2 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 27, 2015, registered Apr 21, 2015 (-6 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jul 25, 2013, registered Jul 30, 2013 (5 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address