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.
A••••• A•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 8, 2016 · Palm Beach, Fl
- M••••• S•••••• wirehouseSep 16, 2013 to Jul 27, 2016 · Boca Raton, Fl
- S••••••• I••••••••• I••• formerDec 22, 2008 to Sep 6, 2013 · Boca Raton, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJan 2, 2008 to Feb 19, 2008 · Palm Beach Gardens, Fl
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 27, 2016, registered Aug 8, 2016 (12 days) · Wirehouse to wirehouse
- S••••••• I••••••••• I••• to M••••• S••••••left Sep 6, 2013, registered Sep 16, 2013 (10 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••• I••••••••• I•••left Feb 19, 2008, registered Dec 22, 2008 (307 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address