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.
C••••••••• J••• M••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 3, 2020 · Coral Gables, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 14, 2019 to Nov 4, 2020 · Coral Gables, Fl
- K••••• A•••••••• I••• BD affiliatedAug 29, 2012 to Jan 10, 2019 · Coral Gables, Fl
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 4, 2020, registered Nov 3, 2020 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- K••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Jan 10, 2019, registered Jan 14, 2019 (4 days) · Affiliated broker-dealer or bank to another
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address