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.
P••• E• S••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jun 22, 2021 · Orlando, Fl
- F••••• F•••••••• M••••••••• formerJul 3, 2012 to Sep 26, 2012 · Miami, Fl
- C•••••• S••••• • C••• I••• national BDMay 9, 2008 to Jun 1, 2011 · Fairfield, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 15, 2006 to Apr 9, 2008 · Ridgefield, Ct
- F••••• F•••••••• M••••••••• to S••••• W••••• A•••••••• I•••left Sep 26, 2012, registered Jun 22, 2021 (3191 days) · Other
- C•••••• S••••• • C••• I••• to F••••• F•••••••• M•••••••••left Jun 1, 2011, registered Jul 3, 2012 (398 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Apr 9, 2008, registered May 9, 2008 (30 days) · Wirehouse to affiliated broker-dealer or bank
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
- No RAUM reportedderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address