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••• L••• G•••••
- C••••••• A•••• M••••••••• L•• BD affiliated currentsince Jan 13, 2016 · Lawrenceville, Ga
- S••••• A••• A•••• M••••••••• I••• formerNov 21, 2011 to Jan 12, 2016 · Suwanee, Ga
- M••••• K••••• • C••••••• L•• formerMay 30, 2008 to Nov 1, 2011 · Alpharetta, Ga
- A••••••••• A•••••• S•••••••• I••• unclassifiedDec 2, 2003 to Jun 4, 2008 · Duluth, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 5, 1991 to Oct 14, 2003 · Duluth, Ga
- S••••• A••• A•••• M••••••••• I••• to C••••••• A•••• M••••••••• L••left Jan 12, 2016, registered Jan 13, 2016 (1 days) · Other
- M••••• K••••• • C••••••• L•• to S••••• A••• A•••• M••••••••• I•••left Nov 1, 2011, registered Nov 21, 2011 (20 days) · Other
- A••••••••• A•••••• S•••••••• I••• to M••••• K••••• • C••••••• L••left Jun 4, 2008, registered May 30, 2008 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• A•••••• S•••••••• I•••left Oct 14, 2003, registered Dec 2, 2003 (49 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address