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••••• B• D••••
- O••••••••• • C•• I••• BD affiliated currentsince Oct 6, 2020 · Atlanta, Ga
- R•• C•••••• M••••••• L•• national BDJan 17, 2020 to Sep 1, 2020 · Atlanta, Ga
- M••••• S•••••• wirehouseMar 18, 2010 to Jan 21, 2020 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseJan 17, 2003 to Mar 25, 2010 · Atlanta, Ga
- R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••left Sep 1, 2020, registered Oct 6, 2020 (35 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jan 21, 2020, registered Jan 17, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Mar 25, 2010, registered Mar 18, 2010 (-7 days) · Wirehouse to wirehouse
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address