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.
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- D•••••••• • C•••••• L•• BD affiliated currentsince Dec 8, 2021 · Richmond, Va
- C••••• A•••••• N••••••• L•• formerMay 20, 2021 to Nov 16, 2021 · Boca Raton, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 29, 2019 to Nov 16, 2021 · Boca Raton, Fl
- S••••• F•••••••• G•••• I•• formerFeb 13, 2017 to May 20, 2021 · Boca Raton, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 13, 2015 to Jan 10, 2017 · Plantation, Fl
- L•• F•••••••• L•• BD affiliatedJul 16, 2013 to Oct 7, 2015 · Fort Mill, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2012 to Jul 9, 2013 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• to C••••• A•••••• N••••••• L••left Nov 16, 2021, registered May 20, 2021 (-180 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to D•••••••• • C•••••• L••left Nov 16, 2021, registered Dec 8, 2021 (22 days) · Affiliated broker-dealer or bank to another
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jan 29, 2019 (-842 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to S••••• F•••••••• G•••• I••left Jan 10, 2017, registered Feb 13, 2017 (34 days) · Other
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Oct 7, 2015, registered Oct 13, 2015 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jul 9, 2013, registered Jul 16, 2013 (7 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address