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••••• R•••• M•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 9, 2009 · Sandy Springs, Ga
- S•••••••• A••••••• L•• national BDJan 29, 2009 to Jun 17, 2009 · Atlanta, Ga
- C•••••• S••••• • C••• I••• national BDAug 20, 2008 to Nov 19, 2008 · Sandy Springs, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 12, 2008 to Jul 30, 2008 · Atlanta, Ga
- S•••••••• A••••••• L•• national BDJan 14, 2003 to Sep 29, 2004 · Willmette, Il
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Jun 17, 2009, registered Jul 9, 2009 (22 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Nov 19, 2008, registered Jan 29, 2009 (71 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jul 30, 2008, registered Aug 20, 2008 (21 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 29, 2004, registered Mar 12, 2008 (1260 days) · Affiliated broker-dealer or bank 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address