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.
L•••• F••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 27, 2021 · Coconut Grove, Fl
- I••••••• S•••••••• formerFeb 4, 2015 to Nov 19, 2021 · Coconut Grove, Fl
- S•••••••• F••••••••• I••• formerJul 15, 2011 to Jun 21, 2012 · Pinecrest, Fl
- E•••••••• A•••••••• L•• national BDFeb 2, 2011 to Jun 20, 2011 · Miami, Fl
- M•• F•••••••• S•••••••• I••• formerApr 14, 2010 to Dec 10, 2010 · Plantation, Fl
- B•••••••• A••••••• S•••••••• L•• unclassifiedJan 6, 2009 to Nov 13, 2009 · Coral Gables, Fl
- I••••••• S•••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Nov 19, 2021, registered Oct 27, 2021 (-23 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• F••••••••• I••• to I••••••• S••••••••left Jun 21, 2012, registered Feb 4, 2015 (958 days) · Other
- E•••••••• A•••••••• L•• to S•••••••• F••••••••• I•••left Jun 20, 2011, registered Jul 15, 2011 (25 days) · Other
- M•• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Dec 10, 2010, registered Feb 2, 2011 (54 days) · Other
- B•••••••• A••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 13, 2009, registered Apr 14, 2010 (152 days) · Other
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address