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.
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- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 12, 2023 · Miami, Fl
- S•••••••• S••••••••• BD affiliatedNov 5, 2018 to Jul 19, 2021 · Miami, Fl
- M••••• S•••••• wirehouseJun 1, 2016 to Aug 17, 2018 · Miami, Fl
- C••••• S••••• S••••••••• •••• L•• formerJul 13, 2011 to Jun 16, 2016 · Miami, Fl
- S•••••••• S••••••••• to J••• M••••• S••••••••• L••left Jul 19, 2021, registered Jan 12, 2023 (542 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to S•••••••• S•••••••••left Aug 17, 2018, registered Nov 5, 2018 (80 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Jun 16, 2016, registered Jun 1, 2016 (-15 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address