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.
B•••••• M••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 23, 2022 · Boca Raton, Fl
- H•••••• T••••••• • K•••• L•• independent RIAJul 8, 2020 to Jun 24, 2022 · Boca Raton, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 14, 2019 to May 13, 2020 · Ft Lauderdale, Fl
- H•••••• T••••••• • K•••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 24, 2022, registered Jun 23, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left May 13, 2020, registered Jul 8, 2020 (56 days) · Affiliated broker-dealer or bank to another
- B•••••• M•• left H•••••• T••••••• • K•••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-06-23)Jun 24, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address