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••••••• S••••••
- C••••• C•••••• A••••••• S••••••• L•• other currentsince May 4, 2023 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 5, 2021 to Apr 26, 2023 · Miami, Fl
- W•••• F•••• A••••••• wirehouseApr 12, 2017 to Mar 25, 2021 · Miami, Fl
- O••••••••• • C•• I••• BD affiliatedNov 16, 2016 to Apr 4, 2017 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• to C••••• C•••••• A••••••• S••••••• L••left Apr 26, 2023, registered May 4, 2023 (8 days) · Other
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Mar 25, 2021, registered May 5, 2021 (41 days) · Wirehouse to affiliated broker-dealer or bank
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Apr 4, 2017, registered Apr 12, 2017 (8 days) · Other
- C••••••• S•••••• left C•••••••• G••••• M•••••• I••• for C••••• C•••••• A••••••• S••••••• L•• (registered 2023-05-04)Apr 26, 2023 · 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
- Other adviserderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address