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.
T••••• N••••• C••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 24, 2018 · Macon, Ga
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Apr 23, 2018 · Macon, Ga
- A• G• E•••••• • S•••• I••• unclassifiedMay 22, 2006 to Jan 1, 2008 · Macon, Ga
- S•••••• S••••••••• I••• BD affiliatedSep 10, 2001 to May 16, 2006 · Warner Robins, Ga
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 23, 2018, registered Apr 24, 2018 (1 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- S•••••• S••••••••• I••• to A• G• E•••••• • S•••• I•••left May 16, 2006, registered May 22, 2006 (6 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