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•••••••• M•••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Ft Lauderdale, Fl
- M•• F•••••••• S•••••••• I••• formerNov 16, 2015 to Mar 25, 2017 · Coral Gables, Fl
- L•• F•••••••• L•• BD affiliatedJun 1, 2010 to Nov 16, 2015 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseJan 29, 2008 to Jun 2, 2010 · Miami, Fl
- M••••• K••••• • C••••••• L•• formerApr 17, 2006 to Jan 7, 2008 · Coral Gables, Fl
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 16, 2015, registered Nov 16, 2015 (0 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 2, 2010, registered Jun 1, 2010 (-1 days) · Other
- M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••left Jan 7, 2008, registered Jan 29, 2008 (22 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