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.
P•••••• T••••• S••••
- D•••••••• • C•••••• L•• BD affiliated currentsince Dec 23, 2014 · Richmond, Va
- S•••••• M•••• M••••••••• L•• independent RIAJan 31, 2014 to Dec 19, 2014 · Watkinsville, Ga
- A••••••••• I••• BD affiliatedAug 31, 2009 to Nov 25, 2013 · Concord, Ca
- S•••••• M•••• M••••••••• L•• to D•••••••• • C•••••• L••left Dec 19, 2014, registered Dec 23, 2014 (4 days) · Other
- A••••••••• I••• to S•••••• M•••• M••••••••• L••left Nov 25, 2013, registered Jan 31, 2014 (67 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address