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.
- F••••• I••••••••• independent RIA currentsince Nov 12, 2010 · Plano, Tx
- L•• F•••••••• L•• BD affiliatedJan 11, 2010 to Feb 4, 2011 · Aventura, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 18, 2009 to Nov 24, 2009 · Plantation, Fl
- A•••• • F•••••••• P•••••••• L•• formerJul 20, 2009 to Sep 14, 2009 · Aventura, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 16, 2008 to Apr 3, 2009 · Fort Lauderdale, Fl
- C••••••••• I••••••••• S•••••••• I••• unclassifiedFeb 5, 2008 to Sep 15, 2008 · Miami, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDSep 30, 2005 to Jun 14, 2007 · Plantation, Fl
- L•• F•••••••• L•• to F••••• I•••••••••left Feb 4, 2011, registered Nov 12, 2010 (-84 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Nov 24, 2009, registered Jan 11, 2010 (48 days) · Other
- A•••• • F•••••••• P•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 14, 2009, registered Sep 18, 2009 (4 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A•••• • F•••••••• P•••••••• L••left Apr 3, 2009, registered Jul 20, 2009 (108 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 15, 2008, registered Sep 16, 2008 (1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• I••••••••• S•••••••• I•••left Jun 14, 2007, registered Feb 5, 2008 (236 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