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.
H••••• T••• S•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 6, 2020 · Alpharetta, Ga
- F•• S••••••••• C••••••••• formerFeb 11, 2015 to Dec 31, 2019 · Atlanta, Ga
- T•••• A•••••••• L•• formerFeb 9, 2010 to Dec 31, 2014 · Atlanta, Ga
- F•••• L••••• S••••••••• L•• unclassifiedOct 29, 2009 to Feb 18, 2010 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 20, 2004 to Oct 20, 2009 · Alpharetta, Ga
- F•• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2019, registered Feb 6, 2020 (37 days) · Affiliated broker-dealer or bank to another
- T•••• A•••••••• L•• to F•• S••••••••• C•••••••••left Dec 31, 2014, registered Feb 11, 2015 (42 days) · Other
- F•••• L••••• S••••••••• L•• to T•••• A•••••••• L••left Feb 18, 2010, registered Feb 9, 2010 (-9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• L••••• S••••••••• L••left Oct 20, 2009, registered Oct 29, 2009 (9 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