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••• W• T•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Alpharetta, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 1, 2021 to Mar 31, 2025 · Jacksonville, Fl
- W•• B•••••••• S•••••••• I••• BD affiliatedDec 9, 2019 to Mar 24, 2021 · Peachtree Corner, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 1, 2016 to Sep 4, 2018 · Atlanta, Ga
- L•• F•••••••• L•• BD affiliatedDec 21, 2015 to Oct 31, 2016 · Suwanee, Ga
- S••••••• F•••••••• S•••••••• I••• formerApr 24, 2015 to Dec 21, 2015 · Atlanta, Ga
- O•••• W•••••• I••• BD affiliatedDec 7, 2005 to Jul 3, 2014 · Warner Robins, Ga
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 10, 2003 to Sep 11, 2003 · Warner Robins, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•• B•••••••• S•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 24, 2021, registered Jun 1, 2021 (69 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•• B•••••••• S•••••••• I•••left Sep 4, 2018, registered Dec 9, 2019 (461 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 31, 2016, registered Nov 1, 2016 (1 days) · Other
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 21, 2015, registered Dec 21, 2015 (0 days) · Other · moved with a team
- O•••• W•••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jul 3, 2014, registered Apr 24, 2015 (295 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Sep 11, 2003, registered Dec 7, 2005 (818 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address