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.
P•••• R••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Mar 29, 2012 · Weston, Fl
- I••••••••• A••••••• S••••••• I•• formerSep 19, 2007 to Feb 28, 2012 · Hialeah, Fl
- W••• I••••••••• I••• unclassifiedJul 18, 2007 to Sep 7, 2007 · Hialeah, Fl
- I••••••••• A••••••• S••••••• I•• to I••••••••• F•••••••• P•••••••left Feb 28, 2012, registered Mar 29, 2012 (30 days) · Other
- W••• I••••••••• I••• to I••••••••• A••••••• S••••••• I••left Sep 7, 2007, registered Sep 19, 2007 (12 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address