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•••• E••• F••••••••
- G•• S••••••••• I••• BD affiliated currentsince Jul 7, 2015 · Palm Beach Gardens, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 7, 2015 · Miami, Fl
- C•••• I••••••••• S••••••• C•••• formerAug 30, 2010 to Oct 1, 2012 · Homestead, Fl
- L•• F•••••••• L•• BD affiliatedJan 27, 2010 to Jul 26, 2010 · Tampa, Fl
- C••••• I••••••••• S••••••• L•• formerApr 9, 2008 to Jan 20, 2010 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2007 to Mar 6, 2008 · Tampa, Fl
- E•••••••• A•••••••• L•• national BDJun 26, 2003 to Jan 11, 2007 · Tampa, Fl
- J••• M••••• S••••••••• L•• to G•• S••••••••• I•••left Jul 7, 2015, registered Jul 7, 2015 (0 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C•••• I••••••••• S••••••• C••••left Jul 26, 2010, registered Aug 30, 2010 (35 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Jan 20, 2010, registered Jan 27, 2010 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••left Mar 6, 2008, registered Apr 9, 2008 (34 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 11, 2007, registered Jan 31, 2007 (20 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address