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.
T•••••• J•••• M•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Fort Myers, Fl
- C•••• I••••••••• S••••••• C•••• formerOct 31, 2011 to Oct 1, 2012 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 22, 2009 to Nov 4, 2010 · Duluth, Ga
- W•••• F•••• A••••••• wirehouseMay 12, 2009 to Jun 23, 2009 · Atlanta, Ga
- N••• F•••••••• G••••• I••• formerFeb 7, 2008 to Apr 30, 2009 · Atlanta, Ga
- B••••• G••••• A•••• M••••••••• BD affiliatedFeb 22, 2005 to Feb 5, 2008 · Alpharetta, Ga
- W•••• F•••• A••••••• wirehouseFeb 25, 2003 to Feb 18, 2005 · Alpharetta, Ga
- 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 Nov 4, 2010, registered Oct 31, 2011 (361 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 23, 2009, registered Jun 22, 2009 (-1 days) · Wirehouse to wirehouse
- N••• F•••••••• G••••• I••• to W•••• F•••• A•••••••left Apr 30, 2009, registered May 12, 2009 (12 days) · Other
- B••••• G••••• A•••• M••••••••• to N••• F•••••••• G••••• I•••left Feb 5, 2008, registered Feb 7, 2008 (2 days) · Other
- W•••• F•••• A••••••• to B••••• G••••• A•••• M•••••••••left Feb 18, 2005, registered Feb 22, 2005 (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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address