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.
M•••••• L••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 4, 2024 · Jupiter, Fl
- N•••••• A••••••• BD affiliatedOct 18, 2023 to Nov 6, 2024 · Palm Beach Gardens, Fl
- E••••• J•••• national BDJul 8, 2008 to Oct 12, 2023 · St Louis, Mo
- N•••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 6, 2024, registered Nov 4, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to N•••••• A•••••••left Oct 12, 2023, registered Oct 18, 2023 (6 days) · Affiliated broker-dealer or bank to another
- M•••••• L•••• left N•••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-11-04)Nov 6, 2024 · Advisor changed firm · fact
- M•••••• L•••• left E••••• J•••• for N•••••• A••••••• (registered 2023-10-18)Oct 12, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address