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.
G••••• M•••• I••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Boca Raton, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 26, 2021 to Mar 31, 2025 · Boca Raton, Fl
- P•• W••••• M••••••••• BD affiliatedNov 23, 2020 to Feb 11, 2021 · Delray Beach, Fl
- A••••• A•• P••••••• S••••••• BD affiliatedOct 2, 2014 to Jan 9, 2019 · Boca Raton, Fl
- W•••• F•••• A••••••• wirehouseMay 22, 2013 to Sep 17, 2014 · Boca Raton, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 12, 2013 · Miami Shores, Fl
- C•••• I••••••••• S••••••• C•••• formerJun 6, 2011 to Oct 1, 2012 · North Miami, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 11, 2021, registered Apr 26, 2021 (74 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to P•• W••••• M•••••••••left Jan 9, 2019, registered Nov 23, 2020 (684 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Sep 17, 2014, registered Oct 2, 2014 (15 days) · Other
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Apr 12, 2013, registered May 22, 2013 (40 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address