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••••• E••••• J••••
- P•• A••••••• S•••••••• L•• independent RIA currentsince Oct 15, 2012 · Pompano Beach, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 9, 2009 to Aug 21, 2012 · Pompano Beach, Fl
- A••••••••• A•••••• S•••••••• I••• unclassifiedSep 18, 2006 to Feb 24, 2009 · Palm Beach Gardens, Fl
- R•••••• J•••• • A••••••••• I••• national BDOct 26, 2001 to Sep 20, 2006 · Boca Raton, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• to P•• A••••••• S•••••••• L••left Aug 21, 2012, registered Oct 15, 2012 (55 days) · Other
- A••••••••• A•••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 24, 2009, registered Apr 9, 2009 (44 days) · Other
- R•••••• J•••• • A••••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Sep 20, 2006, registered Sep 18, 2006 (-2 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address