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.
J••• C••••• L•••••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 8, 2025 · Coral Gables, Fl
- I••• I••••••••• S••••••••• I••• formerFeb 9, 2018 to Nov 15, 2019 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 11, 2008 to Jan 18, 2018 · Coral Gables, Fl
- I••• I••••••••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 15, 2019, registered Jul 8, 2025 (2062 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••• I••••••••• S••••••••• I•••left Jan 18, 2018, registered Feb 9, 2018 (22 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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