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.
G•••••••• R•••• S•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 14, 2016 · Coral Gables, Fl
- B•• M••••• S••••••••• C••••••••• otherNov 26, 2007 to Nov 4, 2009 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseOct 18, 2004 to Dec 31, 2005 · Miami, Fl
- C••••••• I••••••••• S••••••• unclassifiedNov 4, 1997 to Aug 1, 2003 · Miami, Fl
- B•• M••••• S••••••••• C••••••••• to T••••• A••••••• S•••••••• I•••left Nov 4, 2009, registered Sep 14, 2016 (2506 days) · Other
- W•••• F•••• A••••••• to B•• M••••• S••••••••• C•••••••••left Dec 31, 2005, registered Nov 26, 2007 (695 days) · Other
- C••••••• I••••••••• S••••••• to W•••• F•••• A•••••••left Aug 1, 2003, registered Oct 18, 2004 (444 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address