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•••••• L•••• S•••••••
- F••••• P•••••• W••••• A•••••••• L•• independent RIA currentsince Oct 2, 2019 · Miami, Fl
- I••••••• A••••••• S•••••••• L•• mixed wealthDec 7, 2017 to Oct 9, 2019 · Miami, Fl
- I••••••• W••••• A•••••••• L•• formerApr 2, 2015 to Dec 20, 2018 · Miami, Fl
- R•• C•••••• M••••••• L•• national BDMay 1, 2009 to Apr 7, 2015 · Miami, Fl
- U•• I••••••••• I••• unclassifiedDec 13, 2002 to May 21, 2009 · Coral Gables, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 9, 1991 to Dec 17, 2002 · Coral Gables, Fl
- I••••••• A••••••• S•••••••• L•• to F••••• P•••••• W••••• A•••••••• L••left Oct 9, 2019, registered Oct 2, 2019 (-7 days) · RIA to a newly registered adviser
- I••••••• W••••• A•••••••• L•• to I••••••• A••••••• S•••••••• L••left Dec 20, 2018, registered Dec 7, 2017 (-378 days) · Other · moved with a team
- R•• C•••••• M••••••• L•• to I••••••• W••••• A•••••••• L••left Apr 7, 2015, registered Apr 2, 2015 (-5 days) · Other · moved with a team
- U•• I••••••••• I••• to R•• C•••••• M••••••• L••left May 21, 2009, registered May 1, 2009 (-20 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• I••••••••• I•••left Dec 17, 2002, registered Dec 13, 2002 (-4 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address