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.
K•••••• S•••• B•••••••••
- O•••• W•••••• I••• BD affiliated currentsince Aug 23, 2024 · Mableton, Ga
- T•••• A•••••••• L•• formerDec 16, 2021 to Aug 23, 2024 · Dallas, Ga
- B••••••• W••••• A••••••• L•• independent RIAJan 19, 2011 to Jan 11, 2022 · Milton, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDMar 21, 2007 to Dec 22, 2009 · Atlanta, Ga
- S••••• F•••••••• G•••• I•• formerFeb 2, 2004 to Jul 11, 2006 · Mableton, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 24, 2002 to Jun 12, 2003 · Orlando, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 28, 1995 to Oct 1, 2002 · Orlando, Fl
- T•••• A•••••••• L•• to O•••• W•••••• I•••left Aug 23, 2024, registered Aug 23, 2024 (0 days) · corporate re-registration, not a move
- B••••••• W••••• A••••••• L•• to T•••• A•••••••• L••left Jan 11, 2022, registered Dec 16, 2021 (-26 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to B••••••• W••••• A••••••• L••left Dec 22, 2009, registered Jan 19, 2011 (393 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• F•••••••• G•••• I•• to A••••••••• F•••••••• S•••••••• L••left Jul 11, 2006, registered Mar 21, 2007 (253 days) · Other
- C•••••••• G••••• M•••••• I••• to S••••• F•••••••• G•••• I••left Jun 12, 2003, registered Feb 2, 2004 (235 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 1, 2002, registered Sep 24, 2002 (-7 days) · Other
- K•••••• S•••• B••••••••• left B••••••• W••••• A••••••• L•• for T•••• A•••••••• L•• (registered 2021-12-16)Jan 11, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address