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••• J••••• A•••••
- B•• S••••••••• I••• mixed wealth currentsince Mar 23, 2023 · Coral Gables, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 5, 2018 to Apr 5, 2021 · West Palm Beach, Fl
- W•••• F•••• A••••••• wirehouseDec 7, 2001 to Jun 25, 2003 · Miami, Fl
- C••••• I••••••••• A••••••• L•• to B•• S••••••••• I•••left Apr 5, 2021, registered Mar 23, 2023 (717 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Jun 25, 2003, registered Jul 5, 2018 (5489 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address