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.
L••• A•••••• E•••••
- I••••••• A••••••• S•••••••• L•• mixed wealth currentsince Nov 16, 2020 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 14, 2009 to Oct 27, 2020 · Miami, Fl
- U•• I••••••••• I••• unclassifiedJun 5, 2002 to Dec 24, 2008 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 1, 1995 to Jun 1, 2002 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••• A••••••• S•••••••• L••left Oct 27, 2020, registered Nov 16, 2020 (20 days) · Wirehouse to independent RIA
- U•• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 24, 2008, registered May 14, 2009 (141 days) · Other
- U•• F•••••••• S••••••• I••• to U•• I••••••••• I•••left Jun 1, 2002, registered Jun 5, 2002 (4 days) · corporate re-registration, not a move
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address