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.
P•••• C•••• A••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 19, 2021 · Miami, Fl
- W•••• F•••• A••••••• wirehouseAug 30, 2018 to Apr 21, 2021 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 20, 2011 to Oct 5, 2018 · Weehawken, Nj
- H••• S••••••••• •••• I••• BD affiliatedFeb 7, 2008 to Dec 14, 2011 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 8, 2004 to Jan 14, 2008 · Hallandale Beach, Fl
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 21, 2021, registered Apr 19, 2021 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 5, 2018, registered Aug 30, 2018 (-36 days) · Wirehouse to wirehouse
- H••• S••••••••• •••• I••• to U•• F•••••••• S••••••• I•••left Dec 14, 2011, registered Dec 20, 2011 (6 days) · Other
- U•• F•••••••• S••••••• I••• to H••• S••••••••• •••• I•••left Jan 14, 2008, registered Feb 7, 2008 (24 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address