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.
G••••••• R••••• A••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 6, 2020 · Miami Shores, Fl
- U•• F•••••••• S••••••• I••• wirehouseSep 26, 2011 to Jul 10, 2020 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 17, 2011 to Sep 26, 2011 · Miami, Fl
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 10, 2020, registered Jul 6, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Sep 26, 2011, registered Sep 26, 2011 (0 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address