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.
J••• T••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 28, 2019 · Delray Beach, Fl
- P•• W••••• M••••••••• BD affiliatedMar 5, 2013 to Nov 1, 2018 · Royal Palm Beach, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 23, 2012 to Mar 5, 2013 · Fort Lauderdale, Fl
- M•••• C••••••• A••••••• S•••••• BD affiliatedMar 30, 2009 to Jan 9, 2012 · Palm Beach Gardens, Fl
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Nov 1, 2018, registered Jan 28, 2019 (88 days) · Affiliated broker-dealer or bank to wirehouse
- V••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••left Mar 5, 2013, registered Mar 5, 2013 (0 days) · Other
- M•••• C••••••• A••••••• S•••••• to V••• F•••••••• A•••••••• I•••left Jan 9, 2012, registered Jul 23, 2012 (196 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address