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.
L••• A•• E••••
- K••••• A•••••••• I••• BD affiliated currentsince Jan 13, 2015 · Cumming, Ga
- R••••••• H••••••• I••••••••• A•••••••• I••• formerNov 3, 2010 to Dec 31, 2014 · Cumming, Ga
- E•••••••• A•••••••• L•• national BDJul 17, 2009 to Oct 20, 2010 · Cumming, Ga
- W••••••• F•••••••• S•••••••• I••• formerAug 29, 2006 to Jun 18, 2009 · Cumming, Ga
- R••••••• H••••••• I••••••••• A•••••••• I••• to K••••• A•••••••• I•••left Dec 31, 2014, registered Jan 13, 2015 (13 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to R••••••• H••••••• I••••••••• A•••••••• I•••left Oct 20, 2010, registered Nov 3, 2010 (14 days) · Other
- W••••••• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Jun 18, 2009, registered Jul 17, 2009 (29 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address