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.
S••• M•••••• C•••••
- M••••• S•••••• wirehouse currentsince Sep 25, 2020 · Aventura, Fl
- U•• F•••••••• S••••••• I••• wirehouseJul 9, 2010 to Oct 6, 2020 · Hallandale Beach, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedAug 7, 2006 to Jul 12, 2010 · Ft. Lauderdale, Fl
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 6, 2020, registered Sep 25, 2020 (-11 days) · Wirehouse to wirehouse · moved with a team
- J••••• M••••••••• S•••• L•• to U•• F•••••••• S••••••• I•••left Jul 12, 2010, registered Jul 9, 2010 (-3 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address