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.
G••• E••••• S••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 15, 2017 · Roswell, Ga
- R••• A••••••• I••• no RAUMJan 12, 2011 to Nov 10, 2017 · Roswell, Ga
- S•• BD affiliatedJan 30, 2003 to Dec 31, 2010 · Roswell, Ga
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 31, 2002 to Feb 3, 2003 · Roswell, Ga
- R••• A••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 10, 2017, registered Nov 15, 2017 (5 days) · Other
- S•• to R••• A••••••• I•••left Dec 31, 2010, registered Jan 12, 2011 (12 days) · Other
- V••• F•••••••• A•••••••• I••• to S••left Feb 3, 2003, registered Jan 30, 2003 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address