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•••••• G•• B•••••••
- C••••••••• A••••••• independent RIA currentsince Nov 17, 2016 · Sarasota, Fl
- S•• W••••• independent RIAJan 27, 2015 to Nov 3, 2016 · Palm Beach Gardens, Fl
- B••••• P•••••••• L•• formerJun 11, 2009 to Nov 26, 2014 · Palm Beach Gardens, Fl
- C•••••• C•••••• G•••• formerOct 10, 2005 to Oct 20, 2008 · Palm Beach, Fl
- S•• W••••• to C••••••••• A•••••••left Nov 3, 2016, registered Nov 17, 2016 (14 days) · Other
- B••••• P•••••••• L•• to S•• W•••••left Nov 26, 2014, registered Jan 27, 2015 (62 days) · corporate re-registration, not a move
- C•••••• C•••••• G•••• to B••••• P•••••••• L••left Oct 20, 2008, registered Jun 11, 2009 (234 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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address