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••• J••••• M••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 13, 2019 · Boca Raton, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 19, 2016 to Aug 13, 2019 · Boca Raton, Fl
- S••••••• I••••••••• S•••••••• I••• formerMar 26, 2012 to Dec 31, 2016 · Boca Raton, Fl
- L•• F•••••••• L•• BD affiliatedNov 10, 2010 to Mar 27, 2012 · Boca Raton, Fl
- P•• W••••• M••••••••• BD affiliatedMar 15, 2010 to Oct 19, 2010 · Fort Lauderdale, Fl
- L•• F•••••••• L•• BD affiliatedJan 19, 2010 to Mar 5, 2010 · Coconut Creek, Fl
- C••••• I••••••••• S••••••• L•• formerDec 1, 2007 to Jan 20, 2010 · Pompano Beach, Fl
- T••••• A••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 13, 2019, registered Aug 13, 2019 (0 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Aug 19, 2016 (-134 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Mar 27, 2012, registered Mar 26, 2012 (-1 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Oct 19, 2010, registered Nov 10, 2010 (22 days) · Other
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Mar 5, 2010, registered Mar 15, 2010 (10 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Jan 20, 2010, registered Jan 19, 2010 (-1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address