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••••• S•••••• wirehouse currentsince Sep 17, 2015 · Coral Gables, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 11, 2013 to Sep 22, 2015 · Coral Gables, Fl
- B••••••• C•••••• I••• formerNov 30, 2012 to Dec 12, 2013 · Miami, Fl
- C••••• S••••• S••••••••• •••• L•• formerDec 14, 2011 to Dec 20, 2012 · Miami, Fl
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 22, 2015, registered Sep 17, 2015 (-5 days) · Wirehouse to wirehouse · moved with a team
- B••••••• C•••••• I••• to U•• F•••••••• S••••••• I•••left Dec 12, 2013, registered Dec 11, 2013 (-1 days) · Other
- C••••• S••••• S••••••••• •••• L•• to B••••••• C•••••• I•••left Dec 20, 2012, registered Nov 30, 2012 (-20 days) · Other
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