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.
T••••••• J• C•••••••
- M•••••• BD affiliated currentsince Jul 24, 2019 · Palm Beach Gardens, Fl
- M•••••• W••••• A••••••• formerJun 21, 2016 to Dec 31, 2018 · Fort Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 17, 2014 to May 31, 2016 · Oakland Park, Fl
- P•• W••••• M••••••••• BD affiliatedJan 3, 2012 to Feb 25, 2014 · Jupiter, Fl
- M•••••• W••••• A••••••• to M••••••left Dec 31, 2018, registered Jul 24, 2019 (205 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• W••••• A•••••••left May 31, 2016, registered Jun 21, 2016 (21 days) · Other
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 25, 2014, registered Mar 17, 2014 (20 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address