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.
T•••• S••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Atlanta, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 7, 2020 to Mar 31, 2025 · Atlanta, Ga
- E•••••• C•••••• M••••••••• L•• formerDec 9, 2019 to Jun 5, 2020 · Arlington, Va
- H••••••• F•••••••• independent RIADec 5, 2018 to Feb 14, 2020 · Kennesaw, Ga
- P••••••• T•• • A•••••••• L•• independent RIANov 15, 2017 to Oct 3, 2018 · Atlanta, Ga
- C••• I••••••••• A•••••••• I••• independent RIAAug 28, 2017 to Nov 16, 2017 · Mcdonough, Ga
- C•••••• S••••• • C••• I••• national BDApr 1, 2003 to May 11, 2016 · Orlando, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 5, 2020, registered Jul 7, 2020 (32 days) · RIA to affiliated broker-dealer or bank
- H••••••• F•••••••• to E•••••• C•••••• M••••••••• L••left Feb 14, 2020, registered Dec 9, 2019 (-67 days) · RIA to RIA
- P••••••• T•• • A•••••••• L•• to H••••••• F••••••••left Oct 3, 2018, registered Dec 5, 2018 (63 days) · RIA to RIA
- C••• I••••••••• A•••••••• I••• to P••••••• T•• • A•••••••• L••left Nov 16, 2017, registered Nov 15, 2017 (-1 days) · Other
- C•••••• S••••• • C••• I••• to C••• I••••••••• A•••••••• I•••left May 11, 2016, registered Aug 28, 2017 (474 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
- 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