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.
W•••••• C••••••• F•••••
- J•••••• M••••••• W••••• M••••••••• L•• independent RIA currentsince Mar 8, 2021 · Florham Park, Nj
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Mar 8, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerOct 22, 2013 to Jan 2, 2018 · Charlotte, Nc
- W•••••• • R••• formerAug 12, 2009 to Oct 23, 2013 · Tallahassee, Fl
- W•••• F•••• A••••••• wirehouseFeb 3, 2006 to Jul 8, 2009 · Newton, Al
- T••••• A••••••• S•••••••• I••• to J•••••• M••••••• W••••• M••••••••• L••left Mar 8, 2021, registered Mar 8, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to B••• I••••••••• S•••••••• I•••left Oct 23, 2013, registered Oct 22, 2013 (-1 days) · Other
- W•••• F•••• A••••••• to W•••••• • R•••left Jul 8, 2009, registered Aug 12, 2009 (35 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address