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.
D•••••• X••••• O••••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 25, 2011 · Coral Gables, Fl
- L•• F•••••••• L•• BD affiliatedJan 27, 2010 to Apr 14, 2011 · Miami, Fl
- C••••• I••••••••• S••••••• L•• formerJul 11, 2008 to Jan 20, 2010 · Fort Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2002 to Jun 27, 2008 · Coral Gables , Fl
- P••••••••• E••••• G••••• L•• unclassifiedNov 6, 1997 to Nov 20, 2002 · Miami, Fl
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Apr 14, 2011, registered Mar 25, 2011 (-20 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Jan 20, 2010, registered Jan 27, 2010 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••left Jun 27, 2008, registered Jul 11, 2008 (14 days) · Other
- P••••••••• E••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 20, 2002, registered Dec 10, 2002 (20 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address