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.
F•••••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 11, 2018 · Dallas, Ga
- C••••••••• W••••• M••••••••• L•• independent RIAMay 29, 2014 to Sep 7, 2018 · Marietta, Ga
- E••••• J•••• national BDDec 13, 2006 to May 20, 2014 · Acworth, Ga
- S••••••• I••••••••• S•••••••• I••• formerMay 23, 2002 to May 2, 2005 · Kennesaw, Ga
- C••••••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Sep 7, 2018, registered Sep 11, 2018 (4 days) · RIA to RIA
- E••••• J•••• to C••••••••• W••••• M••••••••• L••left May 20, 2014, registered May 29, 2014 (9 days) · Other
- S••••••• I••••••••• S•••••••• I••• to E••••• J••••left May 2, 2005, registered Dec 13, 2006 (590 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address