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.
C•••• E••••• W•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 18, 2019 · Chicago, Il
- S••••• F•••••••• G•••• I•• formerJul 24, 2017 to Oct 4, 2019 · Boca Raton, Fl
- Q•••••• A•••• M••••••••• I••• formerSep 17, 2015 to Apr 27, 2017 · Palm Beach Gardens, Fl
- A•••• • A••••••• G••••• P••••••• independent RIAJun 25, 2010 to Jan 28, 2015 · Boca Raton, Fl
- L•••••••• T••••••• A•••• M••••••••• I•• otherNov 9, 2006 to Apr 1, 2009 · New York, Ny
- S••••• F•••••••• G•••• I•• to R•••••• J•••• • A••••••••• I•••left Oct 4, 2019, registered Oct 18, 2019 (14 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to S••••• F•••••••• G•••• I••left Apr 27, 2017, registered Jul 24, 2017 (88 days) · Other
- A•••• • A••••••• G••••• P••••••• to Q•••••• A•••• M••••••••• I•••left Jan 28, 2015, registered Sep 17, 2015 (232 days) · Other
- L•••••••• T••••••• A•••• M••••••••• I•• to A•••• • A••••••• G••••• P•••••••left Apr 1, 2009, registered Jun 25, 2010 (450 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address