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.
E••••• R••••• R••••• J•
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Coral Gables, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 15, 2023 to Mar 31, 2025 · Coral Gables, Fl
- P•••• S••••••••• L•• no RAUMNov 13, 2019 to Jan 24, 2022 · Coral Gables, Fl
- O••••••••• S••••••••• I••• BD affiliatedFeb 2, 2018 to Dec 2, 2019 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 13, 2011 to Nov 25, 2016 · Key Biscayne, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 21, 2011 to Sep 19, 2011 · Windsor, Ct
- S••••••• I••••••••• S•••••••• I••• formerSep 9, 2008 to Apr 28, 2009 · Miami, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 24, 2022, registered Sep 15, 2023 (599 days) · Affiliated broker-dealer or bank to another
- O••••••••• S••••••••• I••• to P•••• S••••••••• L••left Dec 2, 2019, registered Nov 13, 2019 (-19 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• G••••• M•••••• I••• to O••••••••• S••••••••• I•••left Nov 25, 2016, registered Feb 2, 2018 (434 days) · Other
- V••• F•••••••• A•••••••• I••• to C•••••••• G••••• M•••••• I•••left Sep 19, 2011, registered Sep 13, 2011 (-6 days) · Other
- S••••••• I••••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left Apr 28, 2009, registered Apr 21, 2011 (723 days) · Other
- E••••• R••••• R••••• J• left P•••• S••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-15)Jan 24, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address