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.
I•••••• A•••••• H••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 10, 2020 · Miami, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 17, 2020 · Miami Beach, Fl
- C•••• I••••••••• S••••••• C•••• formerApr 16, 2010 to Oct 1, 2012 · Miami Beach, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 8, 2006 to May 10, 2007 · Pembroke Pines, Fl
- N••••••• T•••• S••••••••• I•• BD affiliatedJul 20, 2005 to Aug 3, 2006 · Miami, Fl
- M••••• K••••• • C••••••• L•• formerAug 6, 2004 to Jul 7, 2005 · Miami, Fl
- U•••• P••••••• I••••••••• A•••••••• I••• unclassifiedOct 13, 2003 to Aug 5, 2004 · Miami, Fl
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 17, 2020, registered Mar 10, 2020 (-7 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to C•••• I••••••••• S••••••• C••••left May 10, 2007, registered Apr 16, 2010 (1072 days) · Other
- N••••••• T•••• S••••••••• I•• to U•••• F•••••••• S••••••• G••••• I•••left Aug 3, 2006, registered Aug 8, 2006 (5 days) · Other
- M••••• K••••• • C••••••• L•• to N••••••• T•••• S••••••••• I••left Jul 7, 2005, registered Jul 20, 2005 (13 days) · Other
- U•••• P••••••• I••••••••• A•••••••• I••• to M••••• K••••• • C••••••• L••left Aug 5, 2004, registered Aug 6, 2004 (1 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address