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.
L••• V•••••• A•••••••
- E•••••••• A•••••••• L•• national BD currentsince Aug 18, 2005 · Miami, Fl
- I••• S••••••••• I••• unclassifiedMay 3, 2004 to Aug 2, 2005 · Coral Gables, Fl
- E•••• N••••••• S••••••••• I••• formerFeb 20, 2004 to Apr 30, 2004 · Lauderdale By The Sea, Fl
- E•••••••• A•••••••• L•• national BDOct 13, 1998 to Feb 18, 2004 · Miami, Fl
- I••• S••••••••• I••• to E•••••••• A•••••••• L••left Aug 2, 2005, registered Aug 18, 2005 (16 days) · Other
- E•••• N••••••• S••••••••• I••• to I••• S••••••••• I•••left Apr 30, 2004, registered May 3, 2004 (3 days) · Other
- E•••••••• A•••••••• L•• to E•••• N••••••• S••••••••• I•••left Feb 18, 2004, registered Feb 20, 2004 (2 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address