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.
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- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 11, 2022 · Richardson, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJan 11, 2022 to Oct 3, 2022 · Boca Raton, Fl
- D••••• J•••• A•••• M••••••••• I••• state registeredApr 9, 2007 to Nov 5, 2007 · Boca Raton, Fl
- S••••••• I••••••••• I••• formerApr 13, 2006 to Oct 9, 2006 · Boca Raton, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMar 8, 2005 to Mar 7, 2006 · Boca Raton, Fl
- D••••• J•••• A•••• M••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 5, 2007, registered Jan 11, 2022 (5181 days) · Other
- S••••••• I••••••••• I••• to D••••• J•••• A•••• M••••••••• I•••left Oct 9, 2006, registered Apr 9, 2007 (182 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••• I••••••••• I•••left Mar 7, 2006, registered Apr 13, 2006 (37 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address