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.
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- M••••• S•••••• wirehouse currentsince Feb 9, 2022 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseApr 16, 2015 to Feb 11, 2022 · Miami, Fl
- B• R•••• W••••• M••••••••• formerFeb 12, 2015 to Apr 7, 2015 · Miami, Fl
- D••••••• • D••••••• L•• formerNov 17, 2014 to Jan 26, 2015 · Miami, Fl
- H••• S••••••••• •••• I••• BD affiliatedOct 13, 2011 to Oct 24, 2014 · Miami, Fl
- R•• C•••••• M••••••• L•• national BDSep 21, 2009 to Jul 5, 2011 · Miami, Fl
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Feb 11, 2022, registered Feb 9, 2022 (-2 days) · Wirehouse to wirehouse · moved with a team
- B• R•••• W••••• M••••••••• to U•• F•••••••• S••••••• I•••left Apr 7, 2015, registered Apr 16, 2015 (9 days) · Other
- D••••••• • D••••••• L•• to B• R•••• W••••• M•••••••••left Jan 26, 2015, registered Feb 12, 2015 (17 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to D••••••• • D••••••• L••left Oct 24, 2014, registered Nov 17, 2014 (24 days) · Other
- R•• C•••••• M••••••• L•• to H••• S••••••••• •••• I•••left Jul 5, 2011, registered Oct 13, 2011 (100 days) · Other
- G••••• L•• A•••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2022-02-09)Feb 11, 2022 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address