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• R•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Douglasville, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 21, 2021 to Mar 31, 2025 · Douglasville, Ga
- L•••••• I••••••••• independent RIASep 23, 2013 to Apr 23, 2021 · Atlanta, Ga
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 1, 2011 to Jul 3, 2013 · Atlanta, Ga
- Q•••••• A•••• M••••••••• I••• formerJul 13, 2010 to Feb 24, 2011 · Minneapolis, Mn
- S••••••• I••••••••• S•••••••• I••• formerJan 18, 2006 to Nov 2, 2009 · Austell, Ga
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 11, 2000 to Dec 15, 2005 · Washington, Dc
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- L•••••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 23, 2021, registered Jul 21, 2021 (89 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to L•••••• I•••••••••left Jul 3, 2013, registered Sep 23, 2013 (82 days) · Other
- Q•••••• A•••• M••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Feb 24, 2011, registered Jun 1, 2011 (97 days) · Other
- S••••••• I••••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Nov 2, 2009, registered Jul 13, 2010 (253 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Dec 15, 2005, registered Jan 18, 2006 (34 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