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.
V•••••• C•••••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 28, 2020 · Boca Raton, Fl
- F•• S••••••••• C••••••••• formerMay 15, 2015 to Jun 1, 2020 · Boca Raton, Fl
- I••••• F•••••••• C••••••••• formerJul 6, 2011 to May 19, 2015 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 17, 2007 to Jul 5, 2011 · Jacksonville, Fl
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Jun 1, 2020, registered May 28, 2020 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••• F•••••••• C••••••••• to F•• S••••••••• C•••••••••left May 19, 2015, registered May 15, 2015 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••left Jul 5, 2011, registered Jul 6, 2011 (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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address