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•••••• R••••••
- C••••• P••••••• L•• independent RIA currentsince Jan 9, 2023 · Boca Raton, Fl
- C••••• P••••••• R••••••••• P••• C••••••••• institutional currentsince Jan 3, 2023 · New York, Ny
- R•••• T•••• W••••• M••••••••• formerAug 4, 2020 to Dec 5, 2022 · New York, Ny
- M••••• S•••••• wirehouseJan 10, 2020 to Jul 10, 2020 · Palm Beach Gardens, Fl
- U•• F•••••••• S••••••• I••• wirehouseSep 11, 2017 to Oct 14, 2019 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 3, 2015 to Apr 3, 2017 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 1, 2011 to Mar 3, 2015 · New York, Ny
- N••• F•••••••• G••••• I••• formerFeb 11, 2009 to Dec 23, 2009 · Venice, Fl
- E•••••••• A•••••••• L•• national BDJan 5, 2009 to Jan 9, 2009 · Tampa, Fl
- R•••• T•••• W••••• M••••••••• to C••••• P••••••• R••••••••• P••• C•••••••••left Dec 5, 2022, registered Jan 3, 2023 (29 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to R•••• T•••• W••••• M•••••••••left Jul 10, 2020, registered Aug 4, 2020 (25 days) · Wirehouse to independent RIA
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 14, 2019, registered Jan 10, 2020 (88 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 3, 2017, registered Sep 11, 2017 (161 days) · Wirehouse to wirehouse
- N••• F•••••••• G••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 23, 2009, registered Sep 1, 2011 (617 days) · Other
- E•••••••• A•••••••• L•• to N••• F•••••••• G••••• I•••left Jan 9, 2009, registered Feb 11, 2009 (33 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address