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.
R•••• D•••• L•••••
- M••••• S•••••• wirehouse currentsince May 12, 2015 · Coral Gables, Fl
- R•• C•••••• M••••••• L•• national BDJan 15, 2014 to May 28, 2015 · Miami, Fl
- B••••••• C•••••• I••• formerMar 7, 2011 to Feb 4, 2014 · Miami, Fl
- H••• S••••••••• •••• I••• BD affiliatedJul 6, 2010 to Feb 8, 2011 · Miami, Fl
- R•• C•••••• M••••••• L•• to M••••• S••••••left May 28, 2015, registered May 12, 2015 (-16 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- B••••••• C•••••• I••• to R•• C•••••• M••••••• L••left Feb 4, 2014, registered Jan 15, 2014 (-20 days) · Other
- H••• S••••••••• •••• I••• to B••••••• C•••••• I•••left Feb 8, 2011, registered Mar 7, 2011 (27 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address