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.
C••••••••• H••••••••• D•••• C•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 18, 2024 · St Pete Beach, Fl
- C•••••• S••••• • C••• I••• national BDOct 15, 2018 to Apr 24, 2023 · Plantation, Fl
- R•••••• J•••• • A••••••••• I••• national BDMar 14, 2017 to Sep 20, 2018 · Fort Lauderdale, Fl
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Apr 24, 2023, registered Mar 18, 2024 (329 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• • A••••••••• I••• to C•••••• S••••• • C••• I•••left Sep 20, 2018, registered Oct 15, 2018 (25 days) · Affiliated broker-dealer or bank to another
- C••••••••• H••••••••• D•••• C••••• left C•••••• S••••• • C••• I••• for J••• M••••• S••••••••• L•• (registered 2024-03-18)Apr 24, 2023 · Advisor changed firm · fact
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address