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.
R•••••• E•••••• M•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2025 · Miami, Fl
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 5, 2022 to Apr 8, 2025 · Miami, Fl
- B• R•••• W••••• M••••••••• formerJan 22, 2015 to Dec 31, 2022 · Miami, Fl
- D••••••• • D••••••• L•• formerAug 10, 2006 to Jan 26, 2015 · Miami, Fl
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Feb 22, 2005 · Miami, Fl
- P••••••• L•• unclassifiedNov 3, 1989 to Jan 17, 2003 · Miami, Fl
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 8, 2025, registered Apr 4, 2025 (-4 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 5, 2022 (-148 days) · corporate re-registration, not a move
- D••••••• • D••••••• L•• to B• R•••• W••••• M•••••••••left Jan 26, 2015, registered Jan 22, 2015 (-4 days) · Other · moved with a team
- C••••• S••••• S••••••••• •••• L•• to D••••••• • D••••••• L••left Feb 22, 2005, registered Aug 10, 2006 (534 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address