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.
L•••• A•• C•••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 6, 2017 · Greenwood Village, Co
- J••• M••••• I••••••••• I••••••••• formerMar 8, 2011 to Sep 3, 2014 · Atlanta, Ga
- E•••••• C•••••• M••••••••• L•• formerJul 28, 2010 to Feb 16, 2011 · Arlington, Va
- S•••••••• A••••••• L•• national BDJul 22, 2008 to Feb 12, 2009 · Atlanta, Ga
- J••• M••••• I••••••••• I••••••••• to E•••••• A••••••• G••••• L••left Sep 3, 2014, registered Apr 6, 2017 (946 days) · Other
- E•••••• C•••••• M••••••••• L•• to J••• M••••• I••••••••• I•••••••••left Feb 16, 2011, registered Mar 8, 2011 (20 days) · Other
- S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left Feb 12, 2009, registered Jul 28, 2010 (531 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address