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••••• G•••••••
- O••••••••• • C•• I••• BD affiliated currentsince Nov 14, 2007 · Coral Gables, Fl
- M••••• K••••• • C••••••• L•• formerJul 30, 2004 to Oct 29, 2007 · Coral Gables, Fl
- U•••• P••••••• I••••••••• A•••••••• I••• unclassifiedMar 28, 2003 to Aug 5, 2004 · Coral Gables, Fl
- M••••• K••••• • C••••••• L•• to O••••••••• • C•• I•••left Oct 29, 2007, registered Nov 14, 2007 (16 days) · Other
- U•••• P••••••• I••••••••• A•••••••• I••• to M••••• K••••• • C••••••• L••left Aug 5, 2004, registered Jul 30, 2004 (-6 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address