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.
O••••• M••••••• L••••
- C•••••• A••••••• S•••••••• I•• independent RIA currentsince Aug 16, 2019 · Miami, Fl
- S• A•••••••• L•• independent RIAOct 24, 2017 to Mar 18, 2019 · Miami, Fl
- G• A• R••••• • C•••••• BD affiliatedJul 13, 2016 to Jun 16, 2017 · Miami, Fl
- F•••••••• W••• G•••• formerJul 17, 2014 to May 27, 2016 · Miami, Fl
- C•••••••• F••••••••• I••• BD affiliatedJan 21, 2014 to Jul 9, 2014 · Miami, Fl
- O••••••••• S••••••••• I••• BD affiliatedMar 21, 2011 to Feb 2, 2012 · Miami, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 11, 2006 to Nov 25, 2009 · Miami, Fl
- E•••••••• A•••••••• L•• national BDJan 14, 1999 to Jan 22, 2004 · Miami, Fl
- S• A•••••••• L•• to C•••••• A••••••• S•••••••• I••left Mar 18, 2019, registered Aug 16, 2019 (151 days) · Affiliated broker-dealer or bank to independent RIA
- G• A• R••••• • C•••••• to S• A•••••••• L••left Jun 16, 2017, registered Oct 24, 2017 (130 days) · Other · moved with a team
- F•••••••• W••• G•••• to G• A• R••••• • C••••••left May 27, 2016, registered Jul 13, 2016 (47 days) · Other
- C•••••••• F••••••••• I••• to F•••••••• W••• G••••left Jul 9, 2014, registered Jul 17, 2014 (8 days) · Other
- O••••••••• S••••••••• I••• to C•••••••• F••••••••• I•••left Feb 2, 2012, registered Jan 21, 2014 (719 days) · Other
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Nov 25, 2009, registered Mar 21, 2011 (481 days) · Other
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 22, 2004, registered Jan 11, 2006 (720 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address