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.
M••••• J••••
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUM currentsince Aug 2, 2021 · Tampa, Fl
- T•• S•••••••• F•••••••• A••••••• BD affiliatedMar 18, 2015 to Jun 11, 2018 · Alpharetta, Ga
- I••••• F•••••••• C••••••••• formerJun 22, 2011 to Mar 21, 2013 · Marietta, Ga
- P•••••••• W••••• S••••••••• L•• unclassifiedOct 13, 2010 to Jul 6, 2011 · Marietta, Ga
- U••• F•••••••• P••••••• S••••••• formerApr 5, 2007 to Jul 13, 2010 · San Antonio, Tx
- B••••••••• L•• I••••••••• C•••••• independent RIAJan 1, 2007 to Mar 23, 2007 · Marietta, Ga
- B••••••••• L•• I••••••••• C•••••• independent RIADec 14, 2005 to Dec 31, 2006 · Marietta, Ga
- T• A••••••••• I••• formerMar 15, 2005 to Oct 19, 2005 · Roswell, Ga
- C•••••• S••••• • C••• I••• national BDSep 14, 2004 to Jan 3, 2005 · Atlanta, Ga
- T•• S•••••••• F•••••••• A••••••• to E•••• • Y•••• I••••••••• A••••••• L••left Jun 11, 2018, registered Aug 2, 2021 (1148 days) · Other
- I••••• F•••••••• C••••••••• to T•• S•••••••• F•••••••• A•••••••left Mar 21, 2013, registered Mar 18, 2015 (727 days) · Other
- P•••••••• W••••• S••••••••• L•• to I••••• F•••••••• C•••••••••left Jul 6, 2011, registered Jun 22, 2011 (-14 days) · Other
- U••• F•••••••• P••••••• S••••••• to P•••••••• W••••• S••••••••• L••left Jul 13, 2010, registered Oct 13, 2010 (92 days) · Other
- B••••••••• L•• I••••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Mar 23, 2007, registered Apr 5, 2007 (13 days) · Other
- T• A••••••••• I••• to B••••••••• L•• I••••••••• C••••••left Oct 19, 2005, registered Dec 14, 2005 (56 days) · Other
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Jan 3, 2005, registered Mar 15, 2005 (71 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- No RAUM reportedderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address