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.
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- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 1, 2018 · Boca Raton, Fl
- E•••••• F•••••••• S•••••••• L•• formerMar 18, 2013 to Nov 1, 2018 · Boca Raton, Fl
- S•••••••• A••••••• L•• national BDOct 30, 2009 to Mar 5, 2013 · Boca Raton, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 22, 2008 to Aug 21, 2009 · Ft Lauderdale, Fl
- T• A••••••••• I••• formerJul 22, 2008 to Aug 21, 2009 · Fort Lauderdale, Fl
- P•••• S••••••••• L•• no RAUMOct 24, 2006 to Jul 15, 2008 · Newark, Nj
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to E•••••• F•••••••• S•••••••• L••left Mar 5, 2013, registered Mar 18, 2013 (13 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left Aug 21, 2009, registered Oct 30, 2009 (70 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 21, 2009, registered Jul 22, 2008 (-395 days) · channel change inside one enterprise, not a move
- P•••• S••••••••• L•• to T• A••••••••• I•••left Jul 15, 2008, registered Jul 22, 2008 (7 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address