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.
D•••••• M• W•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Commerce, Ga
- I••••• F•••••••• C••••••••• formerJul 31, 2009 to Feb 14, 2018 · Commerce, Ga
- M••••• K••••• • C••••••• L•• formerApr 16, 2004 to Sep 6, 2006 · Athens, Ga
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 29, 2003 to Apr 20, 2004 · Commerce, Ga
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to I••••• F•••••••• C•••••••••left Sep 6, 2006, registered Jul 31, 2009 (1059 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to M••••• K••••• • C••••••• L••left Apr 20, 2004, registered Apr 16, 2004 (-4 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