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.
E••• A••••••
- E•••• S••••••••• L•• BD affiliated currentsince Jan 2, 2020 · Sunrise, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 25, 2015 to Jan 18, 2018 · Altamonte Springs, Fl
- T• A••••••••• I••• formerJun 15, 2015 to Jan 18, 2018 · West Palm Beach, Fl
- A••••••• F•••••••• A•••••••• L•• BD affiliatedNov 26, 2014 to May 5, 2015 · Altamonte Springs, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 30, 2011 to Oct 10, 2014 · Milltown, Nj
- P•• W••••• M••••••••• BD affiliatedJul 27, 2010 to Mar 2, 2011 · North Brunswick, Nj
- T• A••••••••• I••••••••• M••••••••• L•• to E•••• S••••••••• L••left Jan 18, 2018, registered Jan 2, 2020 (714 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 18, 2018, registered Jun 25, 2015 (-938 days) · channel change inside one enterprise, not a move · moved with a team
- A••••••• F•••••••• A•••••••• L•• to T• A••••••••• I•••left May 5, 2015, registered Jun 15, 2015 (41 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• F•••••••• A•••••••• L••left Oct 10, 2014, registered Nov 26, 2014 (47 days) · Other
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 2, 2011, registered Mar 30, 2011 (28 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address