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.
P•••• V••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 3, 2019 · Hallandale Beach, Fl
- J••• M••••• S••••••••• L•• wirehouseJul 23, 2014 to Sep 11, 2019 · Aventura, Fl
- W•••• F•••• A••••••• wirehouseSep 18, 2012 to Jul 11, 2014 · Miami, Fl
- E•••• N••••••• S••••••••• I••• formerFeb 18, 2010 to Jul 27, 2012 · Miami, Fl
- L•• F•••••••• L•• BD affiliatedJan 22, 2009 to Feb 17, 2010 · Miami, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJan 6, 2006 to Aug 13, 2007 · Miami, Fl
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 11, 2019, registered Sep 3, 2019 (-8 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jul 11, 2014, registered Jul 23, 2014 (12 days) · Wirehouse to wirehouse
- E•••• N••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jul 27, 2012, registered Sep 18, 2012 (53 days) · Other
- L•• F•••••••• L•• to E•••• N••••••• S••••••••• I•••left Feb 17, 2010, registered Feb 18, 2010 (1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 13, 2007, registered Jan 22, 2009 (528 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address