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.
- M••••• S•••••• wirehouse currentsince Jan 3, 2023 · Palm Beach, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMay 20, 2019 to Jul 7, 2021 · Boca Raton, Fl
- J••• M••••• S••••••••• L•• wirehouseAug 3, 2016 to May 24, 2019 · Palm Beach Gardens, Fl
- W•••• F•••• A••••••• wirehouseJul 16, 2015 to Apr 5, 2016 · Palm Beach, Fl
- O••••••••• • C•• I••• BD affiliatedNov 24, 2014 to Mar 6, 2015 · Boca Raton, Fl
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jul 7, 2021, registered Jan 3, 2023 (545 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 24, 2019, registered May 20, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Apr 5, 2016, registered Aug 3, 2016 (120 days) · Wirehouse to wirehouse
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Mar 6, 2015, registered Jul 16, 2015 (132 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address