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.
J••• P••• S••••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 9, 2025 · Carmel, In
- O••••• F•••••••• G••••• L•• independent RIAJul 5, 2016 to Jul 6, 2023 · Carmel, In
- C•••••• S••••• • C••• I••• national BDAug 10, 2011 to Dec 5, 2014 · Atlanta, Ga
- P•• M•••••• A•••••• S••••••••• I••• formerNov 23, 2009 to Feb 15, 2011 · Houston, Tx
- N•••••••• B••••• B• L•• no RAUMJun 22, 2006 to Sep 8, 2009 · Atlanta, Ga
- H•••••• T••••••• • K•••• L•• independent RIAMar 17, 2005 to Jun 20, 2006 · Woodstock, Ga
- O••••• F•••••••• G••••• L•• to C•••••• S••••• • C••• I•••left Jul 6, 2023, registered Apr 9, 2025 (643 days) · RIA to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to O••••• F•••••••• G••••• L••left Dec 5, 2014, registered Jul 5, 2016 (578 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Feb 15, 2011, registered Aug 10, 2011 (176 days) · Other
- N•••••••• B••••• B• L•• to P•• M•••••• A•••••• S••••••••• I•••left Sep 8, 2009, registered Nov 23, 2009 (76 days) · Other
- H•••••• T••••••• • K•••• L•• to N•••••••• B••••• B• L••left Jun 20, 2006, registered Jun 22, 2006 (2 days) · Other
- J••• P••• S•••••• left O••••• F•••••••• G••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-04-09)Jul 6, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address