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•••• M••••••• B••••••
- O••••••••• • C•• I••• BD affiliated currentsince Jul 12, 2022 · Boca Raton, Fl
- N••• C••••••••• BD affiliatedNov 9, 2018 to Jul 14, 2022 · Boca Raton, Fl
- M••• C•••••• M••••••••• L•• independent RIAOct 11, 2017 to Jun 6, 2018 · Miami, Fl
- N••• C••••••••• to O••••••••• • C•• I•••left Jul 14, 2022, registered Jul 12, 2022 (-2 days) · Affiliated broker-dealer or bank to another
- M••• C•••••• M••••••••• L•• to N••• C•••••••••left Jun 6, 2018, registered Nov 9, 2018 (156 days) · RIA to affiliated broker-dealer or bank
- C•••• M••••••• B•••••• left N••• C••••••••• for O••••••••• • C•• I••• (registered 2022-07-12)Jul 14, 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address