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.
M•••••• F••••• U•••
- P•• W••••• M••••••••• BD affiliated currentsince Dec 6, 2022 · Miami, Fl
- A•••••• A••••••• L•• independent RIAJan 14, 2022 to Nov 21, 2022 · Miami, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 30, 2019 to Sep 30, 2021 · Miami, Fl
- L•• F•••••••• L•• BD affiliatedJul 14, 2017 to Aug 30, 2017 · Ft Lauderdale, Fl
- H••• S••••••••• •••• I••• BD affiliatedOct 26, 2012 to Jun 30, 2016 · Miami, Fl
- W•••• F•••• A••••••• wirehouseOct 11, 2010 to Feb 21, 2012 · Aventura, Fl
- A•••••• A••••••• L•• to P•• W••••• M•••••••••left Nov 21, 2022, registered Dec 6, 2022 (15 days) · RIA to affiliated broker-dealer or bank
- C••••• I••••••••• A••••••• L•• to A•••••• A••••••• L••left Sep 30, 2021, registered Jan 14, 2022 (106 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 30, 2017, registered Jul 30, 2019 (699 days) · Other
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left Jun 30, 2016, registered Jul 14, 2017 (379 days) · Other
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left Feb 21, 2012, registered Oct 26, 2012 (248 days) · Other
- M•••••• F••••• U••• left A•••••• A••••••• L•• for P•• W••••• M••••••••• (registered 2022-12-06)Nov 21, 2022 · Advisor changed firm · fact
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address