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.
L••• H••••• M•••••
- P••••••••• S••••••••• C••••••••• independent RIA currentsince Mar 7, 2011 · Alpharetta, Ga
- S••••••• F•••••••• S•••••••• I••• formerFeb 19, 2010 to Mar 2, 2011 · Bellevue, Wa
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 28, 2003 to Jan 13, 2010 · Atlanta, Ga
- S••••••• F•••••••• S•••••••• I••• to P••••••••• S••••••••• C•••••••••left Mar 2, 2011, registered Mar 7, 2011 (5 days) · Other
- V•••• F•••••••• A•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jan 13, 2010, registered Feb 19, 2010 (37 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address