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.
- M••••• S•••••• wirehouse currentsince Jan 22, 2015 · Newport, Ri
- A•••• W••••• M••••••••• L•• independent RIAAug 16, 2012 to Apr 8, 2014 · Atlanta, Ga
- M••••• S•••••• wirehouseApr 20, 2011 to Oct 10, 2011 · Alpharetta, Ga
- O••••••••• • C•• I••• BD affiliatedSep 10, 2010 to Mar 7, 2011 · Atlanta, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to May 19, 2010 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 18, 2003 to Jun 1, 2009 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 17, 2000 to Nov 25, 2002 · Houston, Tx
- A•••• W••••• M••••••••• L•• to M••••• S••••••left Apr 8, 2014, registered Jan 22, 2015 (289 days) · Other
- M••••• S•••••• to A•••• W••••• M••••••••• L••left Oct 10, 2011, registered Aug 16, 2012 (311 days) · Other
- O••••••••• • C•• I••• to M••••• S••••••left Mar 7, 2011, registered Apr 20, 2011 (44 days) · Other
- M••••• S•••••• to O••••••••• • C•• I•••left May 19, 2010, registered Sep 10, 2010 (114 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address