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.
A•••••• A•••••• R••••
- R•• C•••••• M••••••• L•• national BD currentsince Jan 23, 2022 · Boca Raton, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jan 18, 2022 · Atlanta, Ga
- B••• S••••••••• L•• formerMay 22, 2019 to Feb 17, 2021 · Boca Raton, Fl
- M••••• S•••••• wirehouseJul 31, 2017 to May 17, 2019 · Fort Lauderdale, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 6, 2014 to Jun 14, 2017 · Fort Lauderdale, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 4, 2013 · Miami Lakes, Fl
- C•••• I••••••••• S••••••• C•••• formerAug 14, 2012 to Oct 1, 2012 · Hollywood, Fl
- M••••• S•••••• wirehouseJun 22, 2010 to Aug 1, 2012 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to May 21, 2010 · Coral Gables, Fl
- U•• I••••••••• I••• unclassifiedMar 12, 2008 to Jan 1, 2010 · Coral Gables, Fl
- T••••• A••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Jan 18, 2022, registered Jan 23, 2022 (5 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to B••• S••••••••• L••left May 17, 2019, registered May 22, 2019 (5 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jun 14, 2017, registered Jul 31, 2017 (47 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Aug 1, 2012, registered Aug 14, 2012 (13 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 21, 2010, registered Jun 22, 2010 (32 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- A•••••• A•••••• R•••• left T••••• A••••••• S•••••••• I••• for R•• C•••••• M••••••• L•• (registered 2022-01-23)Jan 18, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address