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.
C••••• G•••••• S••••• M•••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince May 25, 2021 · Orlando, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2019 to Apr 1, 2021 · San Antonio, Tx
- J••• M••••• S••••••••• L•• wirehouseApr 27, 2018 to May 21, 2019 · San Antonio, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 18, 2017 to May 15, 2018 · Miami, Fl
- C•••••••• G••••• M•••••• I••• to S••••• W••••• A•••••••• I•••left Apr 1, 2021, registered May 25, 2021 (54 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left May 21, 2019, registered May 29, 2019 (8 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••left May 15, 2018, registered Apr 27, 2018 (-18 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
- No RAUM reportedderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address