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.
R••• R•••••• M••••••
- M••••• S•••••• wirehouse currentsince Feb 14, 2025 · Coral Gables, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 4, 2015 to Feb 26, 2025 · Coral Gables, Fl
- B••••••• C•••••• I••• formerNov 4, 2010 to Dec 9, 2015 · Miami, Fl
- M••••• S•••••• wirehouseMar 12, 2010 to Dec 10, 2010 · Coral Gables, Fl
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left Feb 26, 2025, registered Feb 14, 2025 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 9, 2015, registered Dec 4, 2015 (-5 days) · corporate re-registration, not a move
- M••••• S•••••• to B••••••• C•••••• I•••left Dec 10, 2010, registered Nov 4, 2010 (-36 days) · Other
- R••• R•••••• M•••••• left S•••••• N••••••• • C••••••• I••••••••• for M••••• S•••••• (registered 2025-02-14)Feb 26, 2025 · Advisor changed firm · fact
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