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•••••• A••••• C•••••••
- J•••••••• I••••••••• A••••••• L•• mixed wealth currentsince Jun 6, 2023 · Miami, Fl
- L••••••• A•••• M••••••••• L•• asset managerApr 4, 2022 to Aug 14, 2023 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 7, 2020 to Apr 12, 2022 · Washington, Dc
- L••••••• A•••• M••••••••• L•• to J•••••••• I••••••••• A••••••• L••left Aug 14, 2023, registered Jun 6, 2023 (-69 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to L••••••• A•••• M••••••••• L••left Apr 12, 2022, registered Apr 4, 2022 (-8 days) · Affiliated broker-dealer or bank to independent RIA
- G•••••• A••••• C••••••• left C•••••••• G••••• M•••••• I••• for L••••••• A•••• M••••••••• L•• (registered 2022-04-04)Apr 12, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address