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.
P•••••• M•••••• K•••••
- S•••• W••••• M••••••••• L•• BD affiliated currentsince Jan 1, 2025 · Mclean, Va
- S••••••••• A•••••• A•••••••• I••• formerNov 16, 2016 to Jan 9, 2018 · Fort Lauderdale, Fl
- I••••• F•••••••• C••••••••• formerMar 4, 2009 to Nov 15, 2016 · Coral Gables, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 4, 2008 to Mar 2, 2009 · Weston, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDSep 20, 2006 to Sep 3, 2008 · Ft Lauderdale, Fl
- S••••••••• A•••••• A•••••••• I••• to S•••• W••••• M••••••••• L••left Jan 9, 2018, registered Jan 1, 2025 (2549 days) · Other · moved with a team
- I••••• F•••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••left Nov 15, 2016, registered Nov 16, 2016 (1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Mar 2, 2009, registered Mar 4, 2009 (2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Sep 3, 2008, registered Sep 4, 2008 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address