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.
C••••• A•••••• T••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 25, 2018 · Miami, Fl
- V••••• F•••••••• M••••••••• I••• BD affiliatedJan 11, 2018 to Apr 16, 2018 · Aventura, Fl
- J••• M••••• S••••••••• L•• wirehouseMar 7, 2016 to Jan 9, 2018 · Miami, Fl
- V••••• F•••••••• M••••••••• I••• to U•• F•••••••• S••••••• I•••left Apr 16, 2018, registered Jul 25, 2018 (100 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to V••••• F•••••••• M••••••••• I•••left Jan 9, 2018, registered Jan 11, 2018 (2 days) · Wirehouse to affiliated broker-dealer or bank
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address