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.
C•••••• E••••• H•••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Jun 4, 2021 · Hollywood, Fl
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedSep 23, 2016 to Jun 21, 2021 · Plantation, Fl
- C•••••••• F•••••••• G•••• A••••••• formerJun 3, 2010 to May 27, 2016 · Plantation, Fl
- K••••• A•••••••• I••• BD affiliatedApr 10, 2008 to Dec 31, 2009 · Ft. Lauderdale, Fl
- I• A••••••• S•••••••• I••• formerJun 9, 2006 to Nov 7, 2007 · Bridgewater, Nj
- T•• I••••••••• C•••••• I••• unclassifiedOct 20, 2004 to Jun 20, 2006 · Dania Beach, Fl
- B•••••• L••• A••••••• S•••••••• I••• to I• F•••••••• A••••••• S••••••• L••left Jun 21, 2021, registered Jun 4, 2021 (-17 days) · Affiliated broker-dealer or bank to another
- C•••••••• F•••••••• G•••• A••••••• to B•••••• L••• A••••••• S•••••••• I•••left May 27, 2016, registered Sep 23, 2016 (119 days) · corporate re-registration, not a move
- K••••• A•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Dec 31, 2009, registered Jun 3, 2010 (154 days) · Other
- I• A••••••• S•••••••• I••• to K••••• A•••••••• I•••left Nov 7, 2007, registered Apr 10, 2008 (155 days) · Other
- T•• I••••••••• C•••••• I••• to I• A••••••• S•••••••• I•••left Jun 20, 2006, registered Jun 9, 2006 (-11 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address