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.
G••••• M•• A••••
- S•••••• C•••••• A••••••• L•• BD affiliated currentsince Jun 20, 2019 · Coral Gables, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 26, 2010 to Jun 12, 2019 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 25, 2010 · Miami, Fl
- P••••••••• E••••• G••••• L•• unclassifiedSep 2, 1998 to Jul 1, 2003 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• C•••••• A••••••• L••left Jun 12, 2019, registered Jun 20, 2019 (8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 25, 2010, registered Aug 26, 2010 (1 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address