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••••• A••••• G••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 22, 2022 · Miami, Fl
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 24, 2022 to Jun 30, 2022 · Coral Gables, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 23, 2022 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 17, 2009 to Jun 1, 2009 · Coral Gables, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJun 12, 2007 to Aug 20, 2007 · Ft Lauderdale, Fl
- N••••••••• M••••• I••••••••• S••••••••• to R•••••• J•••• • A••••••••• I•••left Jun 30, 2022, registered Jun 22, 2022 (-8 days) · Other
- M••••• S•••••• to N••••••••• M••••• I••••••••• S•••••••••left Feb 23, 2022, registered May 24, 2022 (90 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 20, 2007, registered Apr 17, 2009 (606 days) · Other
- C••••• A••••• G•••••••• left N••••••••• M••••• I••••••••• S••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-06-22)Jun 30, 2022 · Advisor changed firm · fact
- C••••• A••••• G•••••••• left M••••• S•••••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2022-05-24)Feb 23, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address