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.
- S••••••• BD affiliated currentsince Jun 5, 2014 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseJun 21, 2010 to Jun 13, 2014 · Atlanta, Ga
- C•••••• S••••• A•••• M••••••••• L•• unclassifiedAug 26, 2004 to Oct 22, 2007 · Marietta, Ga
- L•• F•••••••• L•• BD affiliatedFeb 20, 2004 to Jul 12, 2010 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseApr 23, 2003 to Feb 23, 2004 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• to S•••••••left Jun 13, 2014, registered Jun 5, 2014 (-8 days) · Other
- L•• F•••••••• L•• to C•••••• S••••• A•••• M••••••••• L••left Jul 12, 2010, registered Aug 26, 2004 (-2146 days) · Other
- C•••••• S••••• A•••• M••••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 22, 2007, registered Jun 21, 2010 (973 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 23, 2004, registered Feb 20, 2004 (-3 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address