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.
- M••••• S•••••• wirehouse currentsince Aug 30, 2018 · Boca Raton, Fl
- I•• P•••••• W••••• P•••••••• L•• formerSep 26, 2016 to Nov 8, 2017 · Boca Raton, Fl
- I••••••••• P•••••••• C••••••••• I••• formerJun 15, 2016 to Sep 9, 2016 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 25, 1997 to Nov 21, 2014 · Coral Gables, Fl
- I•• P•••••• W••••• P•••••••• L•• to M••••• S••••••left Nov 8, 2017, registered Aug 30, 2018 (295 days) · Other
- I••••••••• P•••••••• C••••••••• I••• to I•• P•••••• W••••• P•••••••• L••left Sep 9, 2016, registered Sep 26, 2016 (17 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• P•••••••• C••••••••• I•••left Nov 21, 2014, registered Jun 15, 2016 (572 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address