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.
H••••••• L••••
- A•••••• A•••• M••••••••• L•• other currentsince Jul 22, 2021 · Miami, Fl
- P•••• S••••••••• L•• no RAUMMay 8, 2017 to Jul 13, 2021 · West Palm Beach, Fl
- N••• C••••••••• BD affiliatedAug 28, 2009 to Feb 1, 2010 · Boca Raton, Fl
- S••••••• G•••• C•••••• unclassifiedJun 12, 2008 to Mar 23, 2009 · Miami, Fl
- P•••• S••••••••• L•• to A•••••• A•••• M••••••••• L••left Jul 13, 2021, registered Jul 22, 2021 (9 days) · Other
- N••• C••••••••• to P•••• S••••••••• L••left Feb 1, 2010, registered May 8, 2017 (2653 days) · Other
- S••••••• G•••• C•••••• to N••• C•••••••••left Mar 23, 2009, registered Aug 28, 2009 (158 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
- Other adviserderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address