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.
K•••• V•••••• M•••••• C•••••
- M••••• S•••••• wirehouse currentsince May 6, 2016 · Miami, Fl
- I••••••• W••••• A•••••••• L•• formerMar 11, 2016 to Apr 25, 2016 · Miami, Fl
- R•••••• J•••• • A••••••••• I••• national BDJun 16, 2014 to Jan 25, 2016 · Coral Gables, Fl
- M••••• S•••••• wirehouseMar 29, 2012 to Apr 9, 2013 · Coral Gables, Fl
- I••••••• W••••• A•••••••• L•• to M••••• S••••••left Apr 25, 2016, registered May 6, 2016 (11 days) · Other
- R•••••• J•••• • A••••••••• I••• to I••••••• W••••• A•••••••• L••left Jan 25, 2016, registered Mar 11, 2016 (46 days) · Other
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Apr 9, 2013, registered Jun 16, 2014 (433 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address