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•••••••• R•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 18, 2017 · Aventura, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2009 to Feb 18, 2014 · Aventura, Fl
- C•••• I••••••••• S••••••• C•••• formerJul 30, 2009 to Nov 24, 2009 · Miami Shores, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 1, 2007 to May 13, 2009 · Hallandale Beach, Fl
- I••••••• S•••••••• formerMar 14, 2006 to Jul 24, 2007 · Coconut Grove, Fl
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 24, 2009, registered Dec 10, 2009 (16 days) · Other
- U•• F•••••••• S••••••• I••• to C•••• I••••••••• S••••••• C••••left May 13, 2009, registered Jul 30, 2009 (78 days) · Other
- I••••••• S•••••••• to U•• F•••••••• S••••••• I•••left Jul 24, 2007, registered Nov 1, 2007 (100 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