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.
G••••• M••••••• R••••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Jul 12, 2019 · Tampa, Fl
- B•••••••• W••••• A•••••••• L•• formerJul 25, 2016 to Sep 3, 2019 · Miami, Fl
- K•••••••• W••••• M••••••••• L•• i••••••••• wealthJul 22, 2015 to Aug 5, 2016 · Miami, Fl
- C•••••• S••••• • C••• I••• national BDJul 16, 2012 to Jul 28, 2015 · Coral Gables, Fl
- I••••••••• A••••••• S••••••• I•• formerDec 20, 2011 to Jun 19, 2012 · Coral Gables, Fl
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 5, 2007 to Nov 18, 2011 · Miami, Fl
- E•••••••• A•••••••• L•• national BDApr 17, 2006 to Nov 28, 2006 · Miami, Fl
- B•••••••• W••••• A•••••••• L•• to I••••••••• F•••••••• P•••••••left Sep 3, 2019, registered Jul 12, 2019 (-53 days) · RIA to affiliated broker-dealer or bank
- K•••••••• W••••• M••••••••• L•• to B•••••••• W••••• A•••••••• L••left Aug 5, 2016, registered Jul 25, 2016 (-11 days) · Other
- C•••••• S••••• • C••• I••• to K•••••••• W••••• M••••••••• L••left Jul 28, 2015, registered Jul 22, 2015 (-6 days) · Other
- I••••••••• A••••••• S••••••• I•• to C•••••• S••••• • C••• I•••left Jun 19, 2012, registered Jul 16, 2012 (27 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to I••••••••• A••••••• S••••••• I••left Nov 18, 2011, registered Dec 20, 2011 (32 days) · Other
- E•••••••• A•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 28, 2006, registered Jul 5, 2007 (219 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address