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.
D••• R•••••• P••••••
- M••••• S•••••• wirehouse currentsince Mar 6, 2023 · Aventura, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedMay 31, 2005 to Mar 6, 2023 · Ft. Lauderdale, Fl
- M••••• S•••••• D• I••• unclassifiedJan 11, 1996 to Jun 2, 2005 · Aventura, Fl
- J••••• M••••••••• S•••• L•• to M••••• S••••••left Mar 6, 2023, registered Mar 6, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• D• I••• to J••••• M••••••••• S•••• L••left Jun 2, 2005, registered May 31, 2005 (-2 days) · Other
- D••• R•••••• P•••••• left J••••• M••••••••• S•••• L•• for M••••• S•••••• (registered 2023-03-06)Mar 6, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address