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••• W• C••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 30, 2023 · Fort Lauderdale, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedAug 5, 2013 to Dec 1, 2023 · Ft. Lauderdale, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Aug 7, 2013 · Aventura, Fl
- M••••• K••••• • C••••••• L•• formerOct 15, 2008 to Feb 13, 2013 · Aventura, Fl
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Oct 24, 2008 · Aventura, Fl
- A• G• E•••••• • S•••• I••• unclassifiedJan 5, 2006 to Jan 1, 2008 · St. Louis, Mo
- U•• F•••••••• S••••••• I••• wirehouseAug 26, 1997 to Dec 20, 2005 · Aventura, Fl
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Dec 1, 2023, registered Nov 30, 2023 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• • A••••••••• I••• to J••••• M••••••••• S•••• L••left Aug 7, 2013, registered Aug 5, 2013 (-2 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••left Oct 24, 2008, registered Oct 15, 2008 (-9 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to A• G• E•••••• • S•••• I•••left Dec 20, 2005, registered Jan 5, 2006 (16 days) · Other
- M••• W• C•••• left J••••• M••••••••• S•••• L•• for W•••• F•••• A••••••• (registered 2023-11-30)Dec 1, 2023 · 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address