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.
S•••••• L•••• G•••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Feb 14, 2020 · Boca Raton, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 5, 2019 to Dec 24, 2019 · Ft Lauderdale, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 31, 2015 to Jun 11, 2018 · Chandler, Az
- U••• F•••••••• P••••••• S••••••• formerMar 12, 2010 to Feb 17, 2011 · Phoenix, Az
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 11, 2009 to Feb 24, 2010 · Fairfax, Va
- P••• A••••• S••••••••• L•• BD affiliatedJul 29, 2005 to Feb 2, 2009 · Miami, Fl
- P•••• S••••••••• L•• no RAUMJan 10, 2003 to Apr 20, 2005 · Coral Gables, Fl
- M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Dec 24, 2019, registered Feb 14, 2020 (52 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to M•• I•••••••• S•••••••• L••left Feb 17, 2011, registered Aug 31, 2015 (1656 days) · Other
- M•• I•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Feb 24, 2010, registered Mar 12, 2010 (16 days) · Other
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 2, 2009, registered Feb 11, 2009 (9 days) · Other
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Apr 20, 2005, registered Jul 29, 2005 (100 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address