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.
W•••••• A• H•••••
- V••••• C•••••• M••••••••• L•• independent RIA currentsince Jan 25, 2019 · Ft. Lauderdale, Fl
- C••••• A•••••• N••••••• L•• formerFeb 23, 2017 to Jan 29, 2019 · Ft. Lauderdale, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 1, 2016 to Mar 1, 2017 · Ft Lauderdale, Fl
- B••• I••••••••• S•••••••• I••• formerAug 17, 2012 to Oct 30, 2015 · Fort Lauderdale, Fl
- F•• B•••••••• S•••••••• I••• unclassifiedJul 13, 2009 to Mar 14, 2011 · Stuart, Fl
- S••••••• I••••••••• S•••••••• I••• formerFeb 23, 2006 to Jun 19, 2009 · Palm Beach, Fl
- C••••• A•••••• N••••••• L•• to V••••• C•••••• M••••••••• L••left Jan 29, 2019, registered Jan 25, 2019 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to C••••• A•••••• N••••••• L••left Mar 1, 2017, registered Feb 23, 2017 (-6 days) · Other
- B••• I••••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Oct 30, 2015, registered Feb 1, 2016 (94 days) · Other
- F•• B•••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Mar 14, 2011, registered Aug 17, 2012 (522 days) · Other
- S••••••• I••••••••• S•••••••• I••• to F•• B•••••••• S•••••••• I•••left Jun 19, 2009, registered Jul 13, 2009 (24 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address