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••••• V•••••
- M•••• F•••••••• A••••••• BD affiliated currentsince Jan 20, 2022 · Boca Raton, Fl
- S•••• C•••• C•••••• M••••••••• L•• formerApr 25, 2017 to Apr 4, 2022 · Boca Raton, Fl
- B••••••• C•••••• A••••••• formerAug 31, 2007 to Jun 29, 2022 · Princeton, Nj
- F•• S••••••••• C••••••••• formerAug 31, 2007 to Apr 9, 2010 · Worthington, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 7, 2001 to Sep 5, 2007 · New York, Ny
- B••••••• C•••••• A••••••• to S•••• C•••• C•••••• M••••••••• L••left Jun 29, 2022, registered Apr 25, 2017 (-1891 days) · Other · moved with a team
- S•••• C•••• C•••••• M••••••••• L•• to M•••• F•••••••• A•••••••left Apr 4, 2022, registered Jan 20, 2022 (-74 days) · Other · moved with a team
- F•• S••••••••• C••••••••• to B••••••• C•••••• A•••••••left Apr 9, 2010, registered Aug 31, 2007 (-952 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•• S••••••••• C•••••••••left Sep 5, 2007, registered Aug 31, 2007 (-5 days) · Other
- D••••• V••••• left B••••••• C•••••• A••••••• for S•••• C•••• C•••••• M••••••••• L•• (registered 2017-04-25)Jun 29, 2022 · Advisor changed firm · fact
- D••••• V••••• left S•••• C•••• C•••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2022-01-20)Apr 4, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address