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.
J••••• F• R•••• C••••
- A••••••• W••••• A••••••• BD affiliated currentsince Oct 8, 2018 · San Juan, Pr
- H••••• L•••• I••••••••• A•••••••• L•• unclassifiedSep 20, 2017 to Jun 11, 2019 · San Juan, Pr
- P•••••• W••••• M••••••••• G•••• L•• formerJan 22, 2016 to Oct 9, 2017 · Guaynabo, Pr
- P•••••• W••••• M••••••••• G•••• L•• formerJan 15, 2015 to Dec 31, 2015 · Guaynabo, Pr
- P•••••• W••••• M••••••••• G•••• L•• formerAug 13, 2009 to Dec 31, 2014 · Guaynabo, Pr
- H••••• L•••• I••••••••• A•••••••• L•• to A••••••• W••••• A•••••••left Jun 11, 2019, registered Oct 8, 2018 (-246 days) · Other
- P•••••• W••••• M••••••••• G•••• L•• to H••••• L•••• I••••••••• A•••••••• L••left Oct 9, 2017, registered Sep 20, 2017 (-19 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address