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.
S••••••••• N•••••• D•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Mar 15, 2017 · Weehawken, Nj
- M•• F•••••••• S•••••••• I••• formerApr 28, 2015 to Dec 13, 2016 · Boynton Beach, Fl
- W•••• F•••• A••••••• wirehouseOct 18, 2007 to Apr 7, 2015 · Lantana, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJun 16, 2004 to Jul 3, 2006 · Palm Beach Gardens, Fl
- M•• F•••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 13, 2016, registered Mar 15, 2017 (92 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Apr 7, 2015, registered Apr 28, 2015 (21 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jul 3, 2006, registered Oct 18, 2007 (472 days) · Affiliated broker-dealer or bank to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address