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.
M•••• A•••••••• C•••••• F••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 30, 2021 · San Juan, Pr
- P•••••• S••••••••• L•• mixed wealthMar 25, 2021 to Jul 13, 2021 · San Juan, Pr
- O••••••• F•••••••• S••••••• L•• mixed wealthJan 25, 2019 to Mar 24, 2021 · San Juan, Pr
- U•• F•••••••• S••••••• I••• wirehouseAug 28, 2012 to Dec 31, 2013 · Guaynabo, Pr
- P•••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 13, 2021, registered Aug 30, 2021 (48 days) · RIA to affiliated broker-dealer or bank
- O••••••• F•••••••• S••••••• L•• to P•••••• S••••••••• L••left Mar 24, 2021, registered Mar 25, 2021 (1 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to O••••••• F•••••••• S••••••• L••left Dec 31, 2013, registered Jan 25, 2019 (1851 days) · Wirehouse to independent RIA
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address