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.
D••••• G•••••
- O•••• W•••••• I••• BD affiliated currentsince Aug 23, 2022 · Port St Lucie, Fl
- L•• F•••••••• L•• BD affiliatedMay 28, 2020 to Aug 11, 2022 · Port St Lucie, Fl
- W•••• F•••• A••••••• wirehouseAug 11, 2017 to Jul 16, 2020 · Palm Beach, Fl
- S••••••••• A•••••• A•••••••• I••• formerAug 14, 2015 to Feb 6, 2017 · Port St. Lucie, Fl
- F•••••••• L•• formerMay 11, 2015 to Aug 4, 2015 · Fort P•••••, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 23, 2014 to Apr 10, 2015 · Port St Lucie, Fl
- I••••• F•••••••• C••••••••• formerOct 15, 2012 to Jul 10, 2014 · Stuart, Fl
- P•• W••••• M••••••••• BD affiliatedSep 7, 2011 to Aug 13, 2012 · Port St. Lucie, Fl
- W•••• F•••• A••••••• wirehouseMay 31, 2011 to Aug 19, 2011 · Stuart, Fl
- S••••••• I••••••••• S•••••••• I••• formerAug 19, 1999 to Jun 9, 2011 · Vero Beach, Fl
- L•• F•••••••• L•• to O•••• W•••••• I•••left Aug 11, 2022, registered Aug 23, 2022 (12 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 16, 2020, registered May 28, 2020 (-49 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S••••••••• A•••••• A•••••••• I••• to W•••• F•••• A•••••••left Feb 6, 2017, registered Aug 11, 2017 (186 days) · Other
- F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Aug 4, 2015, registered Aug 14, 2015 (10 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••••••• L••left Apr 10, 2015, registered May 11, 2015 (31 days) · Other
- I••••• F•••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 10, 2014, registered Jul 23, 2014 (13 days) · Other
- P•• W••••• M••••••••• to I••••• F•••••••• C•••••••••left Aug 13, 2012, registered Oct 15, 2012 (63 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Aug 19, 2011, registered Sep 7, 2011 (19 days) · Other
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 9, 2011, registered May 31, 2011 (-9 days) · Other
- D••••• G••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2022-08-23)Aug 11, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address