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••••••• J••• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 13, 2017 · Atlanta, Ga
- F•• A•••••••• L•• unclassifiedJan 7, 2013 to Dec 31, 2016 · Atlanta, Ga
- N••• F•••••••• G••••• I••• formerJan 22, 2003 to Mar 13, 2017 · Atlanta, Ga
- N••• F•••••••• G••••• I••• to F•• A•••••••• L••left Mar 13, 2017, registered Jan 7, 2013 (-1526 days) · Other
- F•• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2016, registered Mar 13, 2017 (72 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address