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.
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- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 1, 2016 · Alpharetta, Ga
- P•••••••• A••••••• national BDJan 25, 2012 to Sep 19, 2012 · Hattiesburg, Ms
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 16, 2004 to Jan 28, 2010 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseMay 12, 2003 to Jan 10, 2005 · Atlanta, Ga
- P•••••••• A••••••• to T••••• A••••••• S•••••••• I•••left Sep 19, 2012, registered Sep 1, 2016 (1443 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••••• A•••••••left Jan 28, 2010, registered Jan 25, 2012 (727 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 10, 2005, registered Dec 16, 2004 (-25 days) · Wirehouse to wirehouse
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address