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.
R•••••• R••••
- O••••••••• • C•• I••• BD affiliated currentsince Nov 7, 2019 · North Palm Beach, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 2, 2015 to Nov 6, 2019 · North Palm Beach, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 27, 2015 · West Palm Beach, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 23, 2006 to Jun 1, 2009 · West Palm Beach, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O••••••••• • C•• I•••left Nov 6, 2019, registered Nov 7, 2019 (1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 27, 2015, registered Mar 2, 2015 (3 days) · Other · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address