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.
A••••••• A•••••• M•••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Fort Lauderdale, Fl
- S•••••••• F••••••••• I••• formerDec 8, 2020 to Sep 1, 2023 · Fort Lauderdale, Fl
- E•• F•••••••• A••••••• independent RIAMar 9, 2016 to Dec 7, 2020 · Boca Raton, Fl
- S•••••••• F••••••••• I••• formerJul 17, 2015 to Mar 3, 2016 · Fort Lauderdale, Fl
- I••••• F•••••••• C••••••••• formerFeb 17, 2009 to Jul 17, 2015 · Opa Locka, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedNov 14, 2007 to Feb 13, 2009 · Pembroke Pines, Fl
- P•••••••• S••••••••• I••• BD affiliatedAug 10, 2005 to Dec 5, 2007 · Miramar, Fl
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- E•• F•••••••• A••••••• to S•••••••• F••••••••• I•••left Dec 7, 2020, registered Dec 8, 2020 (1 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to E•• F•••••••• A•••••••left Mar 3, 2016, registered Mar 9, 2016 (6 days) · Other
- I••••• F•••••••• C••••••••• to S•••••••• F••••••••• I•••left Jul 17, 2015, registered Jul 17, 2015 (0 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Feb 13, 2009, registered Feb 17, 2009 (4 days) · Other
- P•••••••• S••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Dec 5, 2007, registered Nov 14, 2007 (-21 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address