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.
L•••••• G•••• T•••••••
- M••••• S•••••• wirehouse currentsince Jan 25, 2021 · Fort Lauderdale, Fl
- I••••••• A••••••• S•••••••• L•• mixed wealthJan 9, 2020 to Dec 10, 2020 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseApr 29, 2016 to Aug 23, 2019 · Ft. Lauderdale, Fl
- R•• C•••••• M••••••• L•• national BDMar 26, 2012 to Dec 26, 2013 · Miami, Fl
- I••••••• A••••••• S•••••••• L•• to M••••• S••••••left Dec 10, 2020, registered Jan 25, 2021 (46 days) · RIA to wirehouse
- U•• F•••••••• S••••••• I••• to I••••••• A••••••• S•••••••• L••left Aug 23, 2019, registered Jan 9, 2020 (139 days) · Wirehouse to independent RIA
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Dec 26, 2013, registered Apr 29, 2016 (855 days) · Affiliated broker-dealer or bank to wirehouse
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