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•••• R•••
- C•••••• A••••••• BD affiliated currentsince Jul 10, 2020 · Tallahassee, Fl
- L•••••• I••••••••• independent RIA currentsince Jul 8, 2020 · Fort Washington, Pa
- H••• S••••••••• •••• I••• BD affiliatedMay 23, 2017 to Jun 5, 2020 · Boca Raton, Fl
- P•• W••••• M••••••••• BD affiliatedDec 2, 2013 to Apr 28, 2017 · Boynton Beach, Fl
- S••••••• F•••••••• S•••••••• I••• formerMar 14, 2013 to Nov 20, 2013 · Boca Raton, Fl
- M••••• S•••••• D• I••• unclassifiedSep 29, 2004 to Jan 20, 2006 · Delray Beach, Fl
- H••• S••••••••• •••• I••• to L•••••• I•••••••••left Jun 5, 2020, registered Jul 8, 2020 (33 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to H••• S••••••••• •••• I•••left Apr 28, 2017, registered May 23, 2017 (25 days) · Other
- S••••••• F•••••••• S•••••••• I••• to P•• W••••• M•••••••••left Nov 20, 2013, registered Dec 2, 2013 (12 days) · Other
- M••••• S•••••• D• I••• to S••••••• F•••••••• S•••••••• I•••left Jan 20, 2006, registered Mar 14, 2013 (2610 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address