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••••••• R••••• P•••• L•••
- B••••• G••••• A•••• M••••••••• BD affiliated currentsince Oct 21, 2022 · Miami, Fl
- M••••• S•••••• wirehouseJul 27, 2021 to Oct 20, 2022 · Aventura, Fl
- L••••• A•••• M••••••••• L•• otherOct 20, 2011 to Jul 6, 2021 · Coral Gables, Fl
- W•••••• I••••••••• S••••••••• formerAug 23, 2011 to Dec 31, 2012 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 27, 2001 to Nov 10, 2006 · Miami, Fl
- M••••• S•••••• to B••••• G••••• A•••• M•••••••••left Oct 20, 2022, registered Oct 21, 2022 (1 days) · Wirehouse to independent RIA
- L••••• A•••• M••••••••• L•• to M••••• S••••••left Jul 6, 2021, registered Jul 27, 2021 (21 days) · RIA to wirehouse
- W•••••• I••••••••• S••••••••• to L••••• A•••• M••••••••• L••left Dec 31, 2012, registered Oct 20, 2011 (-438 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••••• I••••••••• S•••••••••left Nov 10, 2006, registered Aug 23, 2011 (1747 days) · Other
- M••••••• R••••• P•••• L••• left M••••• S•••••• for B••••• G••••• A•••• M••••••••• (registered 2022-10-21)Oct 20, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address