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.
M••••••• B••••
- M••••• S•••••• wirehouse currentsince Sep 18, 2020 · Fort Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 28, 2019 to Sep 28, 2020 · Fort Lauderdale, Fl
- O•••• F•• I••• formerSep 9, 2014 to Sep 19, 2019 · Pompano Beach, Fl
- I••••••••• P•••••••• C••••••••• I••• formerDec 13, 2004 to Oct 15, 2012 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 28, 2020, registered Sep 18, 2020 (-10 days) · Wirehouse to wirehouse · moved with a team
- O•••• F•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 19, 2019, registered Aug 28, 2019 (-22 days) · Affiliated broker-dealer or bank to wirehouse
- I••••••••• P•••••••• C••••••••• I••• to O•••• F•• I•••left Oct 15, 2012, registered Sep 9, 2014 (694 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address