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.
M••••• B•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 5, 2021 · Miami, Fl
- W•••• F•••• A••••••• wirehouseNov 9, 2016 to May 4, 2021 · Miami, Fl
- H••• S••••••••• •••• I••• BD affiliatedAug 18, 2008 to Nov 4, 2011 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 11, 2006 to Apr 2, 2008 · Coral Gables, Fl
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left May 4, 2021, registered May 5, 2021 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- H••• S••••••••• •••• I••• to W•••• F•••• A•••••••left Nov 4, 2011, registered Nov 9, 2016 (1832 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left Apr 2, 2008, registered Aug 18, 2008 (138 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