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•••• D• L• L•••
- I•••••• S••••••••• I••• mixed wealth currentsince Apr 25, 2017 · Highland Park, Il
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Apr 26, 2017 · Miami, Fl
- D••••••• B••• S••••••••• I••• no RAUMJan 28, 2014 to Sep 6, 2016 · Miami, Fl
- B••••••• C•••••• I••• formerJul 1, 2013 to Feb 18, 2014 · Miami, Fl
- H••• S••••••••• •••• I••• BD affiliatedDec 15, 2010 to Jul 3, 2013 · Miami, Fl
- S••••• I••••••••• A••••••• I•• independent RIAOct 14, 2010 to Oct 29, 2010 · Miami, Fl
- U•• I••••••••• I••• unclassifiedMar 13, 2009 to Apr 30, 2009 · Miami, Fl
- R•••••• J•••• • A••••••••• I••• to I•••••• S••••••••• I•••left Apr 26, 2017, registered Apr 25, 2017 (-1 days) · Other
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- B••••••• C•••••• I••• to D••••••• B••• S••••••••• I•••left Feb 18, 2014, registered Jan 28, 2014 (-21 days) · Other
- H••• S••••••••• •••• I••• to B••••••• C•••••• I•••left Jul 3, 2013, registered Jul 1, 2013 (-2 days) · Other
- S••••• I••••••••• A••••••• I•• to H••• S••••••••• •••• I•••left Oct 29, 2010, registered Dec 15, 2010 (47 days) · Other
- U•• I••••••••• I••• to S••••• I••••••••• A••••••• I••left Apr 30, 2009, registered Oct 14, 2010 (532 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address