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••••• L• N••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Dec 6, 2023 · Hollywood, Fl
- M••••• S•••••• wirehouseJun 8, 2023 to Dec 13, 2023 · Aventura, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedMay 3, 2018 to May 17, 2023 · Ft. Lauderdale, Fl
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Jun 14, 2016 · Miami, Fl
- P••••••• L•• unclassifiedApr 17, 2001 to Jan 17, 2003 · Miami, Fl
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 13, 2023, registered Dec 6, 2023 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- J••••• M••••••••• S•••• L•• to M••••• S••••••left May 17, 2023, registered Jun 8, 2023 (22 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• S••••• S••••••••• •••• L•• to J••••• M••••••••• S•••• L••left Jun 14, 2016, registered May 3, 2018 (688 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
- R••••• L• N•••• left M••••• S•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-12-06)Dec 13, 2023 · Advisor changed firm · fact
- R••••• L• N•••• left J••••• M••••••••• S•••• L•• for M••••• S•••••• (registered 2023-06-08)May 17, 2023 · Advisor changed firm · fact
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