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.
G••••• K••••• G•••
- M••••• S•••••• wirehouse currentsince Dec 8, 2020 · Duluth, Ga
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jul 10, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJul 18, 2011 to Jan 8, 2018 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseApr 13, 2006 to Jun 10, 2011 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 13, 1996 to Apr 7, 2006 · Coral Cables, Fl
- U••• I••••••••• S••••••• C•••••• to M••••• S••••••left Jul 10, 2020, registered Dec 8, 2020 (151 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to U••• F•••••••• P••••••• S•••••••left Jun 10, 2011, registered Jul 18, 2011 (38 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 7, 2006, registered Apr 13, 2006 (6 days) · Wirehouse to wirehouse
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