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•••• C••••• B••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Albany, Ga
- M••••• K••••• • C••••••• L•• formerMar 6, 2009 to Feb 13, 2013 · Albany, Ga
- S••••• A••• A•••• M••••••••• I••• formerSep 5, 2006 to Feb 12, 2009 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseJun 19, 2002 to Aug 1, 2006 · Albany, Ga
- W••••••• S••••••••• I••• unclassifiedDec 28, 2001 to Jun 21, 2002 · Albany, Ga
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- S••••• A••• A•••• M••••••••• I••• to M••••• K••••• • C••••••• L••left Feb 12, 2009, registered Mar 6, 2009 (22 days) · Other
- W•••• F•••• A••••••• to S••••• A••• A•••• M••••••••• I•••left Aug 1, 2006, registered Sep 5, 2006 (35 days) · Other
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 21, 2002, registered Jun 19, 2002 (-2 days) · corporate re-registration, not a move
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address