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.
E••••••• A•• R••••
- A•••• W••••• A•••••••• L•• state registered currentsince Feb 24, 2023 · Miami, Fl
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAJun 19, 2020 to Dec 31, 2023 · Miami, Fl
- S••••• F•••••••• G•••• I•• formerAug 9, 2013 to Jun 22, 2020 · Miami Beach, Fl
- L•• F•••••••• L•• BD affiliatedApr 7, 2010 to Jun 24, 2013 · N. Miami Beach, Fl
- P•• W••••• M••••••••• BD affiliatedDec 21, 2009 to Mar 30, 2010 · Fort Lauderdale, Fl
- C••••••• A•••• M••••••••• I•• unclassifiedNov 20, 2008 to Oct 29, 2009 · Plantation, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 22, 2005 to Oct 21, 2008 · Miami, Fl
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to A•••• W••••• A•••••••• L••left Dec 31, 2023, registered Feb 24, 2023 (-310 days) · RIA to a state-registered adviser
- S••••• F•••••••• G•••• I•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Jun 22, 2020, registered Jun 19, 2020 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to S••••• F•••••••• G•••• I••left Jun 24, 2013, registered Aug 9, 2013 (46 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Mar 30, 2010, registered Apr 7, 2010 (8 days) · Other
- C••••••• A•••• M••••••••• I•• to P•• W••••• M•••••••••left Oct 29, 2009, registered Dec 21, 2009 (53 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••••••• A•••• M••••••••• I••left Oct 21, 2008, registered Nov 20, 2008 (30 days) · Other
- E••••••• A•• R•••• left U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• for A•••• W••••• A•••••••• L•• (registered 2023-02-24)Dec 31, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address