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.
S••• S•••••• G•••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 13, 2022 · Miami, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 21, 2010 to Sep 7, 2023 · Coral Gables, Fl
- T• A••••••••• I••• formerJul 8, 2010 to Oct 14, 2022 · Coral Gables, Fl
- E••••• J•••• national BDMar 6, 2009 to Jun 9, 2010 · Maryland Heights, Mo
- E••••• J•••• national BDJun 3, 2008 to Jan 9, 2009 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Apr 13, 2022 (-512 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jul 21, 2010 (-4468 days) · corporate re-registration, not a move
- E••••• J•••• to T• A••••••••• I•••left Jun 9, 2010, registered Jul 8, 2010 (29 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address