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•••••••• P••••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 23, 2018 · Coral Gables, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 11, 2014 to Oct 17, 2018 · Miami, Fl
- L•• F•••••••• L•• BD affiliatedNov 9, 2011 to Dec 8, 2014 · Miami, Fl
- O•••• I••••••••• I••• BD affiliatedDec 12, 2008 to Nov 4, 2011 · Coconut Grove, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 7, 2007 to Dec 1, 2008 · Charlotte, Nc
- C••••••• A•••• M••••••••• I•• unclassifiedMar 6, 2007 to Nov 26, 2008 · Miami, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 24, 2005 to Feb 9, 2006 · Ft. Lauderdale, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Oct 17, 2018, registered Oct 23, 2018 (6 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 8, 2014, registered Dec 11, 2014 (3 days) · Other
- O•••• I••••••••• I••• to L•• F•••••••• L••left Nov 4, 2011, registered Nov 9, 2011 (5 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to O•••• I••••••••• I•••left Dec 1, 2008, registered Dec 12, 2008 (11 days) · Other
- C••••••• A•••• M••••••••• I•• to U•••• F•••••••• S••••••• G••••• I•••left Nov 26, 2008, registered Mar 7, 2007 (-630 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C••••••• A•••• M••••••••• I••left Feb 9, 2006, registered Mar 6, 2007 (390 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address