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•••••• R•••• B•••••
- E•••••••• A•••••••• L•• national BD currentsince Sep 17, 2014 · Atlanta, Ga
- P•• W••••• M••••••••• BD affiliatedAug 8, 2013 to Sep 9, 2014 · Alpharetta, Ga
- S• A•••••••• L•• independent RIAMay 17, 2012 to Aug 15, 2013 · Atlanta, Ga
- E•••••••• A•••••••• L•• national BDSep 10, 2009 to Jul 11, 2011 · Franklin, Tn
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 28, 2008 to Aug 4, 2009 · St. Augustine, Fl
- P•• W••••• M••••••••• to E•••••••• A•••••••• L••left Sep 9, 2014, registered Sep 17, 2014 (8 days) · Other
- S• A•••••••• L•• to P•• W••••• M•••••••••left Aug 15, 2013, registered Aug 8, 2013 (-7 days) · Other
- E•••••••• A•••••••• L•• to S• A•••••••• L••left Jul 11, 2011, registered May 17, 2012 (311 days) · Other
- M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Aug 4, 2009, registered Sep 10, 2009 (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
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address