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.
D•••• M••••••••
- P•••••••• A••••••• national BD currentsince Aug 19, 2026 · Colorado Springs, Co
- P•••••••• A••••••• national BDJun 21, 2021 to Dec 31, 2024 · Coral Springs, Fl
- P•••••••• A••••••• national BDApr 9, 2014 to Dec 31, 2019 · Coral Springs, Fl
- P•• W••••• M••••••••• BD affiliatedSep 11, 2012 to Aug 23, 2013 · Coral Springs, Fl
- B••• I••••••••• S•••••••• I••• formerSep 14, 2010 to Aug 31, 2011 · Fort Lauderdale, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDSep 11, 2007 to Sep 11, 2008 · Plantation, Fl
- W•••• F•••• A••••••• wirehouseSep 15, 2003 to Jul 23, 2007 · Lauderhill, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDNov 13, 2001 to May 13, 2003 · Plantation, Fl
- P•• W••••• M••••••••• to P•••••••• A•••••••left Aug 23, 2013, registered Apr 9, 2014 (229 days) · Other
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Aug 31, 2011, registered Sep 11, 2012 (377 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••• I••••••••• S•••••••• I•••left Sep 11, 2008, registered Sep 14, 2010 (733 days) · Affiliated broker-dealer or bank to a newly registered adviser
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 23, 2007, registered Sep 11, 2007 (50 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left May 13, 2003, registered Sep 15, 2003 (125 days) · Affiliated broker-dealer or bank to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address