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••• R••••• D•••••••
- P••••••• I••••••••• L•• BD affiliated currentsince Mar 9, 2021 · Boca Raton, Fl
- D••••• J•••• A•••• M••••••••• I••• state registeredJan 20, 2012 to Aug 13, 2015 · Boca Raton, Fl
- I•••••••• C•••••• A••••••• formerMar 16, 2010 to Dec 31, 2011 · Lynnfield, Ma
- D••••• J•••• A•••• M••••••••• I••• to P••••••• I••••••••• L••left Aug 13, 2015, registered Mar 9, 2021 (2035 days) · Other
- I•••••••• C•••••• A••••••• to D••••• J•••• A•••• M••••••••• I•••left Dec 31, 2011, registered Jan 20, 2012 (20 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
- 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