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.
P••••• K••••••• C•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 20, 2013 · Palm Beach Gardens, Fl
- C••••• S••••• S••••••••• •••• L•• formerAug 3, 2009 to Oct 17, 2013 · West Palm Beach, Fl
- D••••••• B••• S••••••••• I••• no RAUMJul 11, 2003 to Aug 5, 2009 · Palm Beach, Fl
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Jul 23, 2003 · Miami, Fl
- P••••••• L•• unclassifiedJul 16, 2001 to Jan 17, 2003 · Miami, Fl
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••left Oct 17, 2013, registered Aug 20, 2013 (-58 days) · Other
- D••••••• B••• S••••••••• I••• to C••••• S••••• S••••••••• •••• L••left Aug 5, 2009, registered Aug 3, 2009 (-2 days) · Other
- C••••• S••••• S••••••••• •••• L•• to D••••••• B••• S••••••••• I•••left Jul 23, 2003, registered Jul 11, 2003 (-12 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address