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••••• F•••••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 1, 2022 · Brentwood, Tn
- K•••• P•••• C•••••• M••••••••• L•• formerJul 9, 2019 to Jun 3, 2022 · Great Neck, Ny
- C•••••• S••••• • C••• I••• national BDMar 12, 2015 to Jul 12, 2019 · Manhasset, Ny
- J••• M••••• S••••••••• L•• wirehouseSep 10, 2013 to Feb 25, 2015 · Sunny Isles Beach, Fl
- P•• W••••• M••••••••• BD affiliatedMay 31, 2012 to Aug 23, 2013 · Tamarac, Fl
- M••••• S•••••• wirehouseApr 25, 2011 to Feb 27, 2012 · Boca Raton, Fl
- E••••• J•••• national BDJan 26, 2011 to Apr 18, 2011 · Boca Raton, Fl
- K•••• P•••• C•••••• M••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jun 3, 2022, registered Jun 1, 2022 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•••••• S••••• • C••• I••• to K•••• P•••• C•••••• M••••••••• L••left Jul 12, 2019, registered Jul 9, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Feb 25, 2015, registered Mar 12, 2015 (15 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Aug 23, 2013, registered Sep 10, 2013 (18 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Feb 27, 2012, registered May 31, 2012 (94 days) · Other
- E••••• J•••• to M••••• S••••••left Apr 18, 2011, registered Apr 25, 2011 (7 days) · Affiliated broker-dealer or bank to wirehouse
- A••••• F••••••••• left K•••• P•••• C•••••• M••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-06-01)Jun 3, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address