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.
F•••• G•••••
- I•••••• S••••••••• I••• mixed wealth currentsince Feb 12, 2020 · El Paso, Tx
- I•••••• S••••••••• I••• mixed wealthMay 13, 2013 to Feb 2, 2015 · Miami, Fl
- R•••••• J•••• • A••••••••• I••• national BDApr 28, 2008 to Mar 19, 2012 · Weston, Fl
- W•••• F•••• A••••••• wirehouseMar 5, 2008 to Apr 8, 2008 · Miami, Fl
- U•• I••••••••• I••• unclassifiedMar 8, 2004 to Apr 14, 2004 · Miami, Fl
- R•••••• J•••• • A••••••••• I••• to I•••••• S••••••••• I•••left Mar 19, 2012, registered May 13, 2013 (420 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 8, 2008, registered Apr 28, 2008 (20 days) · Wirehouse to affiliated broker-dealer or bank
- U•• I••••••••• I••• to W•••• F•••• A•••••••left Apr 14, 2004, registered Mar 5, 2008 (1421 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address