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.
T••••• P• S••••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jan 1, 2025 · Ft Lauderdale, Fl
- E•••••••• A•••••••• L•• national BDNov 7, 2016 to May 31, 2017 · Boca Raton, Fl
- S••••••• A•••• M••••••••• L•• formerSep 19, 2012 to Sep 23, 2015 · Dallas, Tx
- C•••• I••••••••• S••••••• C•••• formerJan 30, 2012 to Jun 25, 2012 · Coconut Creek, Fl
- W•••• F•••• A••••••• wirehouseApr 14, 2011 to Aug 24, 2011 · Fort Lauderdale, Fl
- S•••••••• A••••••• L•• national BDAug 28, 2007 to Dec 21, 2010 · Ft. Lauderdale, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDApr 5, 2005 to Aug 21, 2006 · The Woodlands, Tx
- E•••••••• A•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left May 31, 2017, registered Jan 1, 2025 (2772 days) · Other
- S••••••• A•••• M••••••••• L•• to E•••••••• A•••••••• L••left Sep 23, 2015, registered Nov 7, 2016 (411 days) · Other
- C•••• I••••••••• S••••••• C•••• to S••••••• A•••• M••••••••• L••left Jun 25, 2012, registered Sep 19, 2012 (86 days) · Other
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Aug 24, 2011, registered Jan 30, 2012 (159 days) · Other
- S•••••••• A••••••• L•• to W•••• F•••• A•••••••left Dec 21, 2010, registered Apr 14, 2011 (114 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••left Aug 21, 2006, registered Aug 28, 2007 (372 days) · Affiliated broker-dealer or bank to another
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
- No RAUM reportedderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address