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.
A••• E•••••••••
- H••• S••••••••• •••• I••• BD affiliated currentsince Aug 4, 2016 · Miami, Fl
- W•••• F•••• A••••••• wirehouseJun 27, 2014 to Jul 21, 2016 · Charlotte, Nc
- E•• P•••••• W••••• M••••••••• ••••••••• C•••• mixed wealthDec 17, 2013 to Jun 17, 2014 · Miami, Fl
- H••• S••••••••• •••• I••• BD affiliatedFeb 15, 2007 to Jun 26, 2013 · Miami, Fl
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left Jul 21, 2016, registered Aug 4, 2016 (14 days) · Other
- E•• P•••••• W••••• M••••••••• ••••••••• C•••• to W•••• F•••• A•••••••left Jun 17, 2014, registered Jun 27, 2014 (10 days) · Other
- H••• S••••••••• •••• I••• to E•• P•••••• W••••• M••••••••• ••••••••• C••••left Jun 26, 2013, registered Dec 17, 2013 (174 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address