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•••••••• S•••••••
- N•• A•••• M••••••••• L•• BD affiliated currentsince Jan 12, 2018 · Hato Rey, Pr
- N•• A•••• M••••••••• L•• BD affiliatedJul 18, 2017 to Dec 31, 2017 · Hato Rey, Pr
- O••••••• F•••••••• S••••••• L•• mixed wealthDec 8, 2015 to Jul 3, 2017 · San Juan, Pr
- W•••• F•••• A••••••• wirehouseApr 2, 2008 to Dec 7, 2010 · Guaynabo, Pr
- O••••••• F•••••••• S••••••• L•• to N•• A•••• M••••••••• L••left Jul 3, 2017, registered Jul 18, 2017 (15 days) · Other
- W•••• F•••• A••••••• to O••••••• F•••••••• S••••••• L••left Dec 7, 2010, registered Dec 8, 2015 (1827 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address