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.
H••••• B•••• M•••••••
- S••• H••••• F••••••••• L•• independent RIA currentsince Mar 20, 2023 · Pensacola, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDNov 1, 2011 to Mar 17, 2014 · Atlanta, Ga
- A••••••• F•••••••• A•••••••• L•• BD affiliatedOct 11, 2011 to Nov 4, 2011 · Atlanta, Ga
- S•••••• S••••••••• I••• BD affiliatedNov 21, 2006 to Sep 17, 2009 · Alpharetta, Ga
- M••••• K••••• • C••••••• L•• formerFeb 28, 2003 to Nov 13, 2006 · Atlanta, Ga
- A••••••••• F•••••••• S•••••••• L•• to S••• H••••• F••••••••• L••left Mar 17, 2014, registered Mar 20, 2023 (3290 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••• F•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 4, 2011, registered Nov 1, 2011 (-3 days) · Other
- S•••••• S••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Sep 17, 2009, registered Oct 11, 2011 (754 days) · Other
- M••••• K••••• • C••••••• L•• to S•••••• S••••••••• I•••left Nov 13, 2006, registered Nov 21, 2006 (8 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address