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•••• B••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 13, 2021 · Coral Gables, Fl
- L•••••• I••••••••• i••••••••• wealthMay 11, 2020 to Sep 9, 2021 · Miami, Fl
- C•••••• A••••••• BD affiliatedMay 7, 2020 to Sep 9, 2021 · Miami, Fl
- J••• M••••• S••••••••• L•• wirehouseJan 29, 2018 to May 21, 2020 · Miami, Fl
- I••••••••• F•••••••• P••••••• BD affiliatedNov 6, 2015 to Mar 22, 2018 · Ft Lauderdale, Fl
- L•• F•••••••• L•• BD affiliatedFeb 3, 2015 to Nov 13, 2015 · Ft Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 7, 2013 to Feb 10, 2015 · Coral Gables, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 2, 2012 to Jan 24, 2013 · Boca Raton, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 24, 2004 to Feb 7, 2007 · Boca Raton, Fl
- L•••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Sep 9, 2021, registered Dec 13, 2021 (95 days) · Affiliated broker-dealer or bank to another
- C•••••• A••••••• to L•••••• I•••••••••left Sep 9, 2021, registered May 11, 2020 (-486 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to C•••••• A•••••••left May 21, 2020, registered May 7, 2020 (-14 days) · Wirehouse to affiliated broker-dealer or bank
- I••••••••• F•••••••• P••••••• to J••• M••••• S••••••••• L••left Mar 22, 2018, registered Jan 29, 2018 (-52 days) · RIA to wirehouse
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Nov 13, 2015, registered Nov 6, 2015 (-7 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Feb 10, 2015, registered Feb 3, 2015 (-7 days) · Other
- V•••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 24, 2013, registered Feb 7, 2013 (14 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address