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.
D•••• M•••••• C••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Oct 5, 2022 · Roswell, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 4, 2008 to Oct 6, 2022 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseMar 7, 2003 to Jan 15, 2008 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• P•••••• W••••• S•••••••• L••left Oct 6, 2022, registered Oct 5, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 15, 2008, registered Jan 4, 2008 (-11 days) · Wirehouse to wirehouse
- D•••• M•••••• C•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2022-10-05)Oct 6, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address