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•• M•••• M•••••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Aug 21, 2020 · Mount Pleasant, Sc
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Aug 3, 2020 · Atlanta, Ga
- D••••••• B••• S••••••••• I••• no RAUMJun 17, 2013 to Sep 6, 2016 · Atlanta, Ga
- A•••• W••••• M••••••••• L•• independent RIAAug 16, 2012 to Jun 10, 2013 · Atlanta, Ga
- O••••••••• • C•• I••• BD affiliatedMar 25, 2009 to Oct 13, 2010 · Atlanta, Ga
- S••••••• G•••• C•••••• unclassifiedSep 6, 2007 to Mar 18, 2009 · Atlanta, Ga
- S••••••• I••••••••• S•••••••• I••• formerJun 30, 2005 to Sep 5, 2007 · Atlanta, Ga
- T••••• S••••••••• I••• unclassifiedMar 24, 2003 to Jun 30, 2005 · Atlanta, Ga
- R•••••• J•••• • A••••••••• I••• to A•••••• W••••• M••••••••• L••left Aug 3, 2020, registered Aug 21, 2020 (18 days) · Affiliated broker-dealer or bank to independent RIA
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- A•••• W••••• M••••••••• L•• to D••••••• B••• S••••••••• I•••left Jun 10, 2013, registered Jun 17, 2013 (7 days) · Other
- O••••••••• • C•• I••• to A•••• W••••• M••••••••• L••left Oct 13, 2010, registered Aug 16, 2012 (673 days) · Other
- S••••••• G•••• C•••••• to O••••••••• • C•• I•••left Mar 18, 2009, registered Mar 25, 2009 (7 days) · Other
- S••••••• I••••••••• S•••••••• I••• to S••••••• G•••• C••••••left Sep 5, 2007, registered Sep 6, 2007 (1 days) · Other
- T••••• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jun 30, 2005, registered Jun 30, 2005 (0 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address