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.
R•••••• P••••• C••••••
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · Alpharetta, Ga
- E•••••• C•••••• M••••••••• L•• formerFeb 25, 2022 to Sep 5, 2023 · Alpharetta, Ga
- W•••• F•••• A••••••• wirehouseApr 28, 2017 to Jan 26, 2022 · Chamblee, Ga
- P•• W••••• M••••••••• BD affiliatedMar 25, 2013 to Mar 22, 2017 · Lockport, Il
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to E•••••• C•••••• M••••••••• L••left Jan 26, 2022, registered Feb 25, 2022 (30 days) · Wirehouse to independent RIA · moved with a team
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Mar 22, 2017, registered Apr 28, 2017 (37 days) · Other
- R•••••• P••••• C•••••• left W•••• F•••• A••••••• for E•••••• C•••••• M••••••••• L•• (registered 2022-02-25)Jan 26, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address