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.
G•••••• L••• M•••••
- I••••••• A••••••• S•••••••• L•• mixed wealth currentsince Apr 21, 2021 · Miami, Fl
- P•••••• C•••••• A••••••• L•• formerApr 5, 2018 to May 14, 2021 · Coral Gables, Fl
- R•••••• J•••• • A••••••••• I••• national BDJul 14, 2015 to Jan 22, 2018 · Coral Gables, Fl
- M••••• S•••••• wirehouseAug 20, 2014 to Jul 31, 2015 · Boca Raton, Fl
- P•••••• C•••••• A••••••• L•• to I••••••• A••••••• S•••••••• L••left May 14, 2021, registered Apr 21, 2021 (-23 days) · Other
- R•••••• J•••• • A••••••••• I••• to P•••••• C•••••• A••••••• L••left Jan 22, 2018, registered Apr 5, 2018 (73 days) · Other
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Jul 31, 2015, registered Jul 14, 2015 (-17 days) · Wirehouse to affiliated broker-dealer or bank
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address