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.
E••• L•••• W•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 17, 2021 · Lake Worth, Fl
- S••••••••• A•••••• A•••••••• I••• formerNov 6, 2020 to May 20, 2021 · Parkland, Fl
- K•• F•••••••• S•••••••• I•• formerJun 27, 2013 to Nov 6, 2020 · Seattle, Wa
- 1•• W•••••••• A•••••••• L••• formerFeb 9, 2008 to Jun 26, 2013 · Parkland, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 22, 2004 to Jul 17, 2006 · Boca Raton, Fl
- U•• F•••••••• S••••••• I••• wirehouseFeb 7, 2003 to Apr 22, 2004 · Boca Raton, Fl
- S••••••••• A•••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 20, 2021, registered May 17, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
- 1•• W•••••••• A•••••••• L••• to K•• F•••••••• S•••••••• I••left Jun 26, 2013, registered Jun 27, 2013 (1 days) · Other
- C•••••••• G••••• M•••••• I••• to 1•• W•••••••• A•••••••• L•••left Jul 17, 2006, registered Feb 9, 2008 (572 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 22, 2004, registered Apr 22, 2004 (0 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