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.
R•••••• ••••••• M•••• L••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Oct 10, 2017 · Coral Gables, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 7, 2016 to Oct 5, 2017 · Miami Beach, Fl
- S••••••• I••••••••• S•••••••• I••• formerJul 30, 2013 to Dec 31, 2016 · Miami, Fl
- L•• F•••••••• L•• BD affiliatedOct 10, 2011 to Jul 26, 2013 · Miami Beach, Fl
- M••••• K••••• • C••••••• L•• formerOct 16, 2009 to Oct 4, 2011 · Coral Gables, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 7, 2007 to Oct 12, 2009 · Charlotte, Nc
- C••••••• A•••• M••••••••• I•• unclassifiedFeb 16, 2007 to Oct 22, 2009 · Miami, Fl
- W•••• F•••• A••••••• wirehouseJan 13, 2006 to Mar 31, 2006 · Pembroke Pines, Fl
- T••••• A••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 5, 2017, registered Oct 10, 2017 (5 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 7, 2016 (-115 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Jul 26, 2013, registered Jul 30, 2013 (4 days) · Other
- M••••• K••••• • C••••••• L•• to L•• F•••••••• L••left Oct 4, 2011, registered Oct 10, 2011 (6 days) · Other
- C••••••• A•••• M••••••••• I•• to U•••• F•••••••• S••••••• G••••• I•••left Oct 22, 2009, registered Mar 7, 2007 (-960 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to M••••• K••••• • C••••••• L••left Oct 12, 2009, registered Oct 16, 2009 (4 days) · Other
- W•••• F•••• A••••••• to C••••••• A•••• M••••••••• I••left Mar 31, 2006, registered Feb 16, 2007 (322 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address