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•••••• A••• B•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 1, 2010 · Miami, Fl
- U•• I••••••••• I••• unclassifiedNov 18, 2004 to Jan 1, 2010 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 8, 2003 to Nov 18, 2004 · Ft Lauderdal, Fl
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to U•• I••••••••• I•••left Nov 18, 2004, registered Nov 18, 2004 (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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address