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•••••• U••••••••
- M••••• S•••••• wirehouse currentsince May 23, 2016 · Miami, Fl
- C••••• S••••• S••••••••• •••• L•• formerApr 3, 2013 to May 19, 2016 · Miami, Fl
- J••• M••••• S••••••••• L•• wirehouseNov 16, 2012 to Mar 22, 2013 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2007 to Jun 4, 2008 · Tampa, Fl
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left May 19, 2016, registered May 23, 2016 (4 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C••••• S••••• S••••••••• •••• L••left Mar 22, 2013, registered Apr 3, 2013 (12 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jun 4, 2008, registered Nov 16, 2012 (1626 days) · Wirehouse to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address