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.
J••••••• S••••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Feb 5, 2024 · Jacksonville, Fl
- E•••••••• A•••••••• L•• national BDJun 3, 2020 to Feb 27, 2023 · Boca Raton, Fl
- O••••••••• • C•• I••• BD affiliatedJul 3, 2018 to Jun 5, 2020 · Fort Lauderdale, Fl
- H••••• M••• I••••••••• I••• no RAUMJun 20, 2017 to Jun 30, 2018 · Waukesha, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jun 1, 2017 · Wauwatosa, Wi
- M•• F•••••••• S•••••••• I••• formerJan 26, 2017 to Mar 25, 2017 · Milwaukee, Wi
- E•••••••• A•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Feb 27, 2023, registered Feb 5, 2024 (343 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to E•••••••• A•••••••• L••left Jun 5, 2020, registered Jun 3, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- H••••• M••• I••••••••• I••• to O••••••••• • C•• I•••left Jun 30, 2018, registered Jul 3, 2018 (3 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to H••••• M••• I••••••••• I•••left Jun 1, 2017, registered Jun 20, 2017 (19 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- J••••••• S•••••• left E•••••••• A•••••••• L•• for A••••••• F•••••••• A•••••••• L•• (registered 2024-02-05)Feb 27, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address