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.
L•••• C• M•••
- B••••• G••••• A•••• M••••••••• BD affiliated currentsince Sep 21, 2023 · Miami, Fl
- M••••• S•••••• wirehouseOct 20, 2011 to Sep 20, 2023 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2007 to Oct 5, 2011 · Miami, Fl
- M••••• S•••••• to B••••• G••••• A•••• M•••••••••left Sep 20, 2023, registered Sep 21, 2023 (1 days) · Wirehouse to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 5, 2011, registered Oct 20, 2011 (15 days) · Wirehouse to wirehouse
- L•••• C• M••• left M••••• S•••••• for B••••• G••••• A•••• M••••••••• (registered 2023-09-21)Sep 20, 2023 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address