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••••• T••••• N••••
- I••••• A•••• M••••••••• L•• state registered currentsince Jul 15, 2021 · Saint Simons I•••••, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDSep 11, 2018 to Apr 9, 2019 · St Simons Island, Ga
- I••••••••• P••••••••• I••• formerAug 14, 2015 to Sep 11, 2018 · St. Simons I•••••, Ga
- S•••••• S••••••••• I••• BD affiliatedJul 19, 2010 to Aug 12, 2015 · Columbus, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 2, 2007 to Jul 30, 2010 · Saint Simons I•••••, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 6, 2003 to Mar 26, 2007 · Albany, Ga
- A••••••••• F•••••••• S•••••••• L•• to I••••• A•••• M••••••••• L••left Apr 9, 2019, registered Jul 15, 2021 (828 days) · Affiliated broker-dealer or bank to a state-registered adviser
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 11, 2018, registered Sep 11, 2018 (0 days) · corporate re-registration, not a move
- S•••••• S••••••••• I••• to I••••••••• P••••••••• I•••left Aug 12, 2015, registered Aug 14, 2015 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• S••••••••• I•••left Jul 30, 2010, registered Jul 19, 2010 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 26, 2007, registered Apr 2, 2007 (7 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
- STATE REGISTEREDderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address