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.
S••••• R••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 7, 2019 · St. Cloud, Fl
- O••••••• F•••••••• S••••••• L•• mixed wealthDec 7, 2015 to Mar 8, 2019 · San Juan, Pr
- W•••• F•••• A••••••• wirehouseOct 2, 2008 to Jul 22, 2011 · Guaynabo, Pr
- O••••••• F•••••••• S••••••• L•• to J••• M••••• S••••••••• L••left Mar 8, 2019, registered Mar 7, 2019 (-1 days) · RIA to wirehouse
- W•••• F•••• A••••••• to O••••••• F•••••••• S••••••• L••left Jul 22, 2011, registered Dec 7, 2015 (1599 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address