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.
S•••• W••••• E••••
- C•••••• S•••••• L•• independent RIA currentsince Jan 9, 2017 · Gainesville, Ga
- B••••••••• I••••••••• G••••• L•• independent RIAJun 7, 2011 to Jan 3, 2017 · Gainsville, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 3, 2011 · Athens, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 31, 2009 to Jun 1, 2009 · Athens, Ga
- U•• F•••••••• S••••••• I••• wirehouseFeb 7, 2003 to Apr 15, 2009 · Atlanta, Ga
- B••••••••• I••••••••• G••••• L•• to C•••••• S•••••• L••left Jan 3, 2017, registered Jan 9, 2017 (6 days) · Other
- M••••• S•••••• to B••••••••• I••••••••• G••••• L••left Mar 3, 2011, registered Jun 7, 2011 (96 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 15, 2009, registered Mar 31, 2009 (-15 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address