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.
S•••• J•••••• A•••••••
- C•••••• C•••••• M••••••••• L•• former currentsince Oct 18, 2016 · Parker, Co
- U•• F•••••••• S••••••• I••• wirehouseSep 5, 2007 to Jun 20, 2008 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 17, 2002 to Sep 4, 2007 · Fort Lauderdale, Fl
- N••••••• T•••• S••••••••• I•• BD affiliatedJan 3, 2002 to Jul 16, 2002 · Aventura, Fl
- U•• F•••••••• S••••••• I••• to C•••••• C•••••• M••••••••• L••left Jun 20, 2008, registered Oct 18, 2016 (3042 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 4, 2007, registered Sep 5, 2007 (1 days) · Wirehouse to wirehouse
- N••••••• T•••• S••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 16, 2002, registered Jul 17, 2002 (1 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
- Former SEC-registered adviserderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address