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.
- E••••• J•••• national BD currentsince Nov 25, 2019 · Tyrone, Ga
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 20, 2016 to Nov 25, 2019 · Atlanta, Ga
- S••••••• I••••••••• S•••••••• I••• formerJun 18, 2012 to Dec 31, 2016 · Atlanta, Ga
- I••••• F•••••••• C••••••••• formerJul 27, 2009 to Jun 29, 2012 · Peachtree City, Ga
- F•••• L••••• S••••••••• L•• unclassifiedSep 21, 2007 to Jul 23, 2009 · Tyrone, Ga
- C••• F•••••••• A••••••• formerMar 22, 2005 to Aug 10, 2007 · Fairburn, Ga
- T••••• A••••••• S•••••••• I••• to E••••• J••••left Nov 25, 2019, registered Nov 25, 2019 (0 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 20, 2016 (-102 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to S••••••• I••••••••• S•••••••• I•••left Jun 29, 2012, registered Jun 18, 2012 (-11 days) · Other
- F•••• L••••• S••••••••• L•• to I••••• F•••••••• C•••••••••left Jul 23, 2009, registered Jul 27, 2009 (4 days) · Other
- C••• F•••••••• A••••••• to F•••• L••••• S••••••••• L••left Aug 10, 2007, registered Sep 21, 2007 (42 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address