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.
K•••• W•••••• W•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 10, 2019 · Aventura, Fl
- W•••• F•••• A••••••• wirehouseJul 2, 2013 to Mar 24, 2017 · North Miami Beach, Fl
- W•••• F•••• A••••••• wirehouseMar 11, 2011 to Sep 4, 2012 · Fort Lauderdale, Fl
- I•• C•••••• C•••• unclassifiedSep 9, 2008 to Jan 15, 2010 · Aventura, Fl
- M••••• K••••• • C••••••• L•• formerApr 10, 2007 to Sep 5, 2008 · Birmingham, Al
- P••• A•••••••• I••• unclassifiedOct 2, 2006 to Apr 11, 2007 · Franklin, Tn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 11, 2005 to Apr 20, 2006 · Ft. Lauderdale, Fl
- M••• S••••••••• C••••••••• unclassifiedMar 16, 2004 to Mar 9, 2005 · Ft. Lauderdale, Fl
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 24, 2017, registered Jan 10, 2019 (657 days) · Wirehouse to wirehouse
- I•• C•••••• C•••• to W•••• F•••• A•••••••left Jan 15, 2010, registered Mar 11, 2011 (420 days) · Other
- M••••• K••••• • C••••••• L•• to I•• C•••••• C••••left Sep 5, 2008, registered Sep 9, 2008 (4 days) · Other
- P••• A•••••••• I••• to M••••• K••••• • C••••••• L••left Apr 11, 2007, registered Apr 10, 2007 (-1 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to P••• A•••••••• I•••left Apr 20, 2006, registered Oct 2, 2006 (165 days) · Other
- M••• S••••••••• C••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 9, 2005, registered Apr 11, 2005 (33 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address