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.
D•••• M•••••••• M••••••
- J•••••••• I••••••••• A••••••• L•• mixed wealth currentsince Jun 1, 2023 · New York, Ny
- L••••••• A•••• M••••••••• L•• asset managerFeb 17, 2023 to Aug 14, 2023 · Miami, Fl
- P•• W••••• M••••••••• BD affiliatedSep 21, 2021 to Oct 4, 2022 · Pittsburgh, Pa
- P•• M•••••• A•••••• S••••••••• I••• formerJul 31, 2014 to Dec 31, 2021 · Miami, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerJul 31, 2014 to Oct 4, 2022 · Houston, Tx
- S••••••• I••••••••• S•••••••• I••• formerFeb 7, 2013 to Jul 8, 2014 · Coral Gables, Fl
- L••••••• A•••• M••••••••• L•• to J•••••••• I••••••••• A••••••• L••left Aug 14, 2023, registered Jun 1, 2023 (-74 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Oct 4, 2022, registered Sep 21, 2021 (-378 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P•• W••••• M••••••••• to L••••••• A•••• M••••••••• L••left Oct 4, 2022, registered Feb 17, 2023 (136 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••••• I••••••••• S•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Jul 8, 2014, registered Jul 31, 2014 (23 days) · Other
- D•••• M•••••••• M•••••• left P•• W••••• M••••••••• for L••••••• A•••• M••••••••• L•• (registered 2023-02-17)Oct 4, 2022 · Advisor changed firm · fact
- D•••• M•••••••• M•••••• left P•• M•••••• A•••••• S••••••••• I••• for P•• W••••• M••••••••• (registered 2021-09-21)Oct 4, 2022 · Advisor changed firm · fact
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address