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.
J••• A•••••• D• L• L•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 8, 2021 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 10, 2011 to Feb 23, 2021 · Miami, Fl
- M••••• K••••• • C••••••• L•• formerAug 16, 2005 to Oct 7, 2011 · Coral Gables, Fl
- S••••••• I••••••••• S•••••••• I••• formerMay 26, 2005 to Aug 23, 2005 · Hialeah, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 15, 2000 to Aug 21, 2002 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Feb 23, 2021, registered Feb 8, 2021 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• K••••• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 7, 2011, registered Oct 10, 2011 (3 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M••••• K••••• • C••••••• L••left Aug 23, 2005, registered Aug 16, 2005 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• I••••••••• S•••••••• I•••left Aug 21, 2002, registered May 26, 2005 (1009 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address