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.
G•••••• A••••• C••••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 7, 2021 · Miami, Fl
- W•••• F•••• A••••••• wirehouseMar 5, 2009 to Mar 12, 2013 · Miami, Fl
- L•• F•••••••• L•• BD affiliatedMar 4, 2008 to Mar 17, 2009 · Miami Beach, Fl
- I••• S••••••••• I••• unclassifiedMar 8, 2007 to Mar 4, 2008 · North Miami, Fl
- M••••• K••••• • C••••••• L•• formerJul 20, 2006 to Oct 4, 2006 · Miami, Fl
- M••••• S•••••• D• I••• unclassifiedJun 14, 2001 to Sep 27, 2002 · Coral Gables, Fl
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 12, 2013, registered Apr 7, 2021 (2948 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Mar 17, 2009, registered Mar 5, 2009 (-12 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left Mar 4, 2008, registered Mar 4, 2008 (0 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to I••• S••••••••• I•••left Oct 4, 2006, registered Mar 8, 2007 (155 days) · Other
- M••••• S•••••• D• I••• to M••••• K••••• • C••••••• L••left Sep 27, 2002, registered Jul 20, 2006 (1392 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address