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••••• E• G•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 17, 2021 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseAug 10, 2020 to Mar 16, 2021 · Miami, Fl
- S•••••••• S••••••••• BD affiliatedMar 31, 2020 to Aug 10, 2020 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2017 to Apr 13, 2018 · Miami, Fl
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Mar 16, 2021, registered Mar 17, 2021 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••••• S••••••••• to W•••• F•••• A•••••••left Aug 10, 2020, registered Aug 10, 2020 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• S•••••••••left Apr 13, 2018, registered Mar 31, 2020 (718 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
- National broker-dealer RIAderived
- Years in industry
- 9derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address