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•••••• A• D•••••• B•••••••••
- K••••• A•••••••• I••• BD affiliated currentsince May 26, 2016 · Ft. Lauderdale, Fl
- O••••••• F•••••••• S••••••• L•• mixed wealthDec 7, 2015 to May 13, 2016 · San Juan, Pr
- A•••••• I••••••••• I••• independent RIAJul 27, 2007 to Oct 15, 2007 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseMar 8, 2006 to Mar 13, 2007 · Guaynabo, Pr
- O••••••• F•••••••• S••••••• L•• to K••••• A•••••••• I•••left May 13, 2016, registered May 26, 2016 (13 days) · Other
- A•••••• I••••••••• I••• to O••••••• F•••••••• S••••••• L••left Oct 15, 2007, registered Dec 7, 2015 (2975 days) · Other
- W•••• F•••• A••••••• to A•••••• I••••••••• I•••left Mar 13, 2007, registered Jul 27, 2007 (136 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