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.
J••••• M••• S••••
- B•••••• A••••••• G•••• L•• independent RIA currentsince Jan 24, 2019 · Boca Raton, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 17, 2014 to Jan 3, 2019 · Fort Lauderdale, Fl
- T• A••••••••• I••• formerApr 10, 2014 to Jan 3, 2019 · Fort Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseMay 30, 2008 to Jun 3, 2010 · Fort Lauderdale, Fl
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 3, 2019, registered Apr 17, 2014 (-1722 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to B•••••• A••••••• G•••• L••left Jan 3, 2019, registered Jan 24, 2019 (21 days) · RIA to RIA
- W•••• F•••• A••••••• to T• A••••••••• I•••left Jun 3, 2010, registered Apr 10, 2014 (1407 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address