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••• R••••• P•••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 12, 2018 · Morristown, Nj
- W•••• F•••• A••••••• wirehouseDec 13, 2011 to Apr 18, 2012 · Duluth, Ga
- D••••••• B••• S••••••••• I••• no RAUMSep 8, 2005 to Jan 9, 2012 · Atlanta, Ga
- A• G• E•••••• • S•••• I••• unclassifiedMay 8, 2003 to Sep 9, 2005 · Duluth, Ga
- W•••• F•••• A••••••• to P•••••• A•••••• G••••• L••left Apr 18, 2012, registered Jun 12, 2018 (2246 days) · Wirehouse to independent RIA
- D••••••• B••• S••••••••• I••• to W•••• F•••• A•••••••left Jan 9, 2012, registered Dec 13, 2011 (-27 days) · Other
- A• G• E•••••• • S•••• I••• to D••••••• B••• S••••••••• I•••left Sep 9, 2005, registered Sep 8, 2005 (-1 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address