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.
D••••• K••••• Y••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Oct 30, 2020 · Miami, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDAug 18, 2015 to Nov 5, 2020 · Coral Gables, Fl
- J•• C•••••• A•••••••• L•• formerDec 13, 2011 to Aug 17, 2015 · Tampa, Fl
- Y••••• S•••••• A•• C•••••• unclassifiedSep 8, 2011 to Dec 9, 2011 · Miami, Fl
- A••••••••• F•••••••• S•••••••• L•• to J••••• M••••••••• S•••• L••left Nov 5, 2020, registered Oct 30, 2020 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- J•• C•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 17, 2015, registered Aug 18, 2015 (1 days) · Other · moved with a team
- Y••••• S•••••• A•• C•••••• to J•• C•••••• A•••••••• L••left Dec 9, 2011, registered Dec 13, 2011 (4 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address