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.
C••••••••• A•••••• M•••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jun 26, 2023 · Coral Springs, Fl
- A••••••• I••••••••• M••••••••• L•• independent RIAJun 1, 2018 to Apr 30, 2020 · Parkland, Fl
- P••••••• W••••• M••••••••• L•• unclassifiedAug 25, 2015 to Aug 25, 2016 · P•••••••, Fl
- B•• M••••• S••••••••• C••••••••• otherSep 25, 2006 to Nov 17, 2008 · Atlanta, Ga
- L•••• A••••• • C•• L•• asset managerFeb 13, 2003 to Aug 28, 2006 · Jersey City, Nj
- A••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Apr 30, 2020, registered Jun 26, 2023 (1152 days) · RIA to affiliated broker-dealer or bank
- P••••••• W••••• M••••••••• L•• to A••••••• I••••••••• M••••••••• L••left Aug 25, 2016, registered Jun 1, 2018 (645 days) · Other
- B•• M••••• S••••••••• C••••••••• to P••••••• W••••• M••••••••• L••left Nov 17, 2008, registered Aug 25, 2015 (2472 days) · Other
- L•••• A••••• • C•• L•• to B•• M••••• S••••••••• C•••••••••left Aug 28, 2006, registered Sep 25, 2006 (28 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address