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.
J•••••• C••••• J••••••
- P•••••••• A••••••• national BD currentsince Jul 31, 2019 · Duluth, Ga
- N••••• mixed wealthOct 12, 2018 to Apr 18, 2019 · Loganville, Ga
- S••••• I••••••••• M••••••••• L•• independent RIAJun 13, 2017 to May 14, 2018 · Loganville, Ga
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 31, 2014 to May 1, 2017 · Duluth, Ga
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 21, 2014 · Atlanta, Ga
- C•••• I••••••••• S••••••• C•••• formerJan 19, 2012 to Oct 1, 2012 · Douglasville, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 16, 2011 · Atlanta, Ga
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 9, 2001 to Oct 23, 2009 · Decatur, Ga
- N••••• to P•••••••• A•••••••left Apr 18, 2019, registered Jul 31, 2019 (104 days) · RIA to affiliated broker-dealer or bank
- S••••• I••••••••• M••••••••• L•• to N•••••left May 14, 2018, registered Oct 12, 2018 (151 days) · RIA to RIA
- C••••• I••••••••• A••••••• L•• to S••••• I••••••••• M••••••••• L••left May 1, 2017, registered Jun 13, 2017 (43 days) · Other
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 21, 2014, registered Mar 31, 2014 (10 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Dec 16, 2011, registered Jan 19, 2012 (34 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address