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•••••• T••••• R•••• T••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 20, 2021 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseNov 23, 2015 to Apr 26, 2021 · Coral Gables, Fl
- O••••••••• • C•• I••• BD affiliatedSep 17, 2010 to Nov 16, 2015 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 8, 2010 · Miami, Fl
- P••••••••• E••••• G••••• L•• unclassifiedSep 12, 2001 to Jul 1, 2003 · Miami, Fl
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 26, 2021, registered Apr 20, 2021 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Nov 16, 2015, registered Nov 23, 2015 (7 days) · Other
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Sep 8, 2010, registered Sep 17, 2010 (9 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address