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•••••• F••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 15, 2018 · Doral, Fl
- I••••• F•••••••• C••••••••• formerJan 12, 2017 to Feb 15, 2018 · Doral, Fl
- N••• F•••••••• G••••• I••• formerApr 3, 2015 to Dec 14, 2016 · Miami, Fl
- H•• A••••••• S••••••• L•• independent RIAJun 9, 2011 to Mar 16, 2015 · Miami, Fl
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 15, 2018, registered Feb 15, 2018 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to I••••• F•••••••• C•••••••••left Dec 14, 2016, registered Jan 12, 2017 (29 days) · Other
- H•• A••••••• S••••••• L•• to N••• F•••••••• G••••• I•••left Mar 16, 2015, registered Apr 3, 2015 (18 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address