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.
A•••••••• Z••••
- M•••••• BD affiliated currentsince Jun 5, 2019 · Coral Gables, Fl
- S••••• X•••• S•••••••• S••••• W••••• M••••••••• formerJun 15, 2016 to Jun 11, 2019 · Coral Gables, Fl
- J••• P•••••••• • C•• formerMar 11, 2015 to Dec 2, 2015 · Davie, Fl
- S••••• X•••• S•••••••• S••••• W••••• M••••••••• to M••••••left Jun 11, 2019, registered Jun 5, 2019 (-6 days) · RIA to affiliated broker-dealer or bank · moved with a team
- J••• P•••••••• • C•• to S••••• X•••• S•••••••• S••••• W••••• M•••••••••left Dec 2, 2015, registered Jun 15, 2016 (196 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address