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•••••• R•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince May 30, 2019 · Plantation, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Nov 28, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 15, 2015 to Jul 13, 2018 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 18, 2014 to Jun 4, 2015 · Fort Lauderdale, Fl
- S•••••••• A••••••• L•• national BDNov 15, 2005 to Aug 20, 2013 · Owings Mills, Md
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedNov 4, 2004 to Nov 15, 2005 · Tysons Corner, Va
- C•••• C•••• F•••••••• S••••••• unclassifiedFeb 27, 2003 to Sep 1, 2004 · Bethesda, Md
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• F•••••••• E••••••left Nov 28, 2018, registered May 30, 2019 (183 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Jun 4, 2015, registered Jul 15, 2015 (41 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 20, 2013, registered Mar 18, 2014 (210 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• T•••• C••••••• F•• to S•••••••• A••••••• L••left Nov 15, 2005, registered Nov 15, 2005 (0 days) · Other
- C•••• C•••• F•••••••• S••••••• to F••••••• P••••••• T•••• C••••••• F••left Sep 1, 2004, registered Nov 4, 2004 (64 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address