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.
R•••••• V•••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Feb 13, 2018 · Palm Beach Gardens, Fl
- I••••• F•••••••• C••••••••• formerJul 22, 2015 to Feb 13, 2018 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 26, 2011 to May 28, 2015 · Miami, Fl
- W•••• F•••• A••••••• wirehouseJun 22, 2010 to Sep 27, 2011 · Miami, Fl
- I••••• F•••••••• C••••••••• to M•••• C••••••• A••••••• S••••••left Feb 13, 2018, registered Feb 13, 2018 (0 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••left May 28, 2015, registered Jul 22, 2015 (55 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 27, 2011, registered Oct 26, 2011 (29 days) · Wirehouse to wirehouse
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address