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.
A•••• S••••••• R••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Feb 24, 2020 · Atlanta, Ga
- G••••• C••••••• L•• formerJan 7, 2015 to Jan 22, 2020 · Atlanta, Ga
- G••••• C•••••• M••••••••• L•• formerSep 19, 2012 to Dec 18, 2014 · Atlanta, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 5, 2012 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 17, 2003 to Jun 1, 2009 · Atlanta, Ga
- G••••• C••••••• L•• to J••••• M••••••••• S•••• L••left Jan 22, 2020, registered Feb 24, 2020 (33 days) · RIA to affiliated broker-dealer or bank
- G••••• C•••••• M••••••••• L•• to G••••• C••••••• L••left Dec 18, 2014, registered Jan 7, 2015 (20 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to G••••• C•••••• M••••••••• L••left Sep 5, 2012, registered Sep 19, 2012 (14 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 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
- 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