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•••• B••••• B•••
- B••••• C•••••• A••••••• L•• state registered currentsince Jan 3, 2023 · Boca Raton, Fl
- C••• L•• BD affiliatedFeb 27, 2020 to Jul 25, 2022 · Boca Raton, Fl
- G•••••••• C•••••• M••••••••• L•• independent RIAJan 27, 2017 to May 1, 2020 · Lone Tree, Co
- J••• M••••• S••••••••• L•• wirehouseNov 19, 2014 to Mar 4, 2015 · Westport, Ct
- M•• F•••••••• S•••••••• I••• formerMar 28, 2013 to Jun 26, 2013 · San Diego, Ca
- M••••• S•••••• wirehouseFeb 1, 2010 to Sep 26, 2011 · San Diego, Ca
- C••• L•• to B••••• C•••••• A••••••• L••left Jul 25, 2022, registered Jan 3, 2023 (162 days) · Affiliated broker-dealer or bank to a state-registered adviser
- G•••••••• C•••••• M••••••••• L•• to C••• L••left May 1, 2020, registered Feb 27, 2020 (-64 days) · RIA to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to G•••••••• C•••••• M••••••••• L••left Mar 4, 2015, registered Jan 27, 2017 (695 days) · Other
- M•• F•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Jun 26, 2013, registered Nov 19, 2014 (511 days) · Other
- M••••• S•••••• to M•• F•••••••• S•••••••• I•••left Sep 26, 2011, registered Mar 28, 2013 (549 days) · Other
- P•••• B••••• B••• left C••• L•• for B••••• C•••••• A••••••• L•• (registered 2023-01-03)Jul 25, 2022 · 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address