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.
E•••••• S••••••• T•••••
- T•• A•••••••• I••• BD affiliated currentsince Jun 2, 2022 · Summit, Nj
- U•• F•••••••• S••••••• I••• wirehouseJan 28, 2020 to Mar 8, 2021 · Miami, Fl
- E•• P•••••• W••••• M••••••••• ••••••••• C•••• mixed wealthMar 7, 2016 to Jan 7, 2020 · Miami, Fl
- E•• C•••••• A••••••• I••• formerFeb 22, 2016 to Feb 22, 2019 · Miami, Fl
- W•••• F•••• A••••••• wirehouseJun 30, 2015 to Dec 17, 2015 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Sep 12, 2014 · Miami, Fl
- U•• I••••••••• I••• unclassifiedMar 31, 2006 to Jan 1, 2010 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 17, 2005 to Mar 21, 2006 · Coral Gables, Fl
- U•• F•••••••• S••••••• I••• to T•• A•••••••• I•••left Mar 8, 2021, registered Jun 2, 2022 (451 days) · Wirehouse to affiliated broker-dealer or bank
- E•• P•••••• W••••• M••••••••• ••••••••• C•••• to U•• F•••••••• S••••••• I•••left Jan 7, 2020, registered Jan 28, 2020 (21 days) · RIA to wirehouse
- E•• C•••••• A••••••• I••• to E•• P•••••• W••••• M••••••••• ••••••••• C••••left Feb 22, 2019, registered Mar 7, 2016 (-1082 days) · Other · moved with a team
- W•••• F•••• A••••••• to E•• C•••••• A••••••• I•••left Dec 17, 2015, registered Feb 22, 2016 (67 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 12, 2014, registered Jun 30, 2015 (291 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• I••••••••• I•••left Mar 21, 2006, registered Mar 31, 2006 (10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address