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••••••• R•••• Q•••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Woodstock, Ga
- W••••••• F•••••••• S•••••••• I••• formerOct 16, 2015 to Jan 19, 2024 · Woodstock, Ga
- C•• R••••••••• S••••••••• L•• unclassifiedJun 30, 2004 to Jun 14, 2007 · Roswell, Ga
- L•• F•••••••• L•• BD affiliatedJul 18, 2003 to Oct 28, 2015 · Woodstock, Ga
- W•••• F•••• A••••••• wirehouseApr 23, 2003 to Jul 22, 2003 · Canton, Ga
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C•• R••••••••• S••••••••• L••left Oct 28, 2015, registered Jun 30, 2004 (-4137 days) · Other
- C•• R••••••••• S••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jun 14, 2007, registered Oct 16, 2015 (3046 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 22, 2003, registered Jul 18, 2003 (-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
- 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