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••••• M••••••• P••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 18, 2018 · Coral Gables, Fl
- M••••• S•••••• wirehouseOct 19, 2011 to Dec 11, 2018 · Aventura, Fl
- B••• I••••••••• S•••••••• I••• formerApr 28, 2010 to Sep 8, 2011 · Miami, Fl
- E••••• J•••• national BDMay 29, 2009 to Mar 10, 2010 · St Louis, Mo
- M••••• S•••••• to W•••• F•••• A•••••••left Dec 11, 2018, registered Dec 18, 2018 (7 days) · Wirehouse to wirehouse · moved with a team
- B••• I••••••••• S•••••••• I••• to M••••• S••••••left Sep 8, 2011, registered Oct 19, 2011 (41 days) · Other
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left Mar 10, 2010, registered Apr 28, 2010 (49 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address