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.
I•••• T••••• S•••• C•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 28, 2018 · Miami, Fl
- X• A••••••• U•• I••• otherJun 15, 2018 to Nov 7, 2018 · Miami, Fl
- E•• C•••••• A••••••• I••• formerJul 22, 2015 to Mar 6, 2017 · Miami, Fl
- E•• C•••••• A••••••• L•• formerSep 20, 2012 to Jan 17, 2014 · Miami, Fl
- X• A••••••• U•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 7, 2018, registered Nov 28, 2018 (21 days) · Other
- E•• C•••••• A••••••• I••• to X• A••••••• U•• I•••left Mar 6, 2017, registered Jun 15, 2018 (466 days) · Other · moved with a team
- E•• C•••••• A••••••• L•• to E•• C•••••• A••••••• I•••left Jan 17, 2014, registered Jul 22, 2015 (551 days) · channel change inside one enterprise, not a move
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address