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.
C•••••• W•••• C•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Dec 3, 2019 · Atlanta, Ga
- I••••••••• P••••••• L•• independent RIAAug 25, 2016 to Jan 2, 2019 · Atlanta, Ga
- C••• I••••••••• A•••••••• I••• independent RIAJan 23, 2014 to Sep 2, 2016 · Atlanta, Ga
- R••••••• H••••••• I••••••••• A•••••••• I••• formerJan 11, 2010 to Dec 31, 2013 · Atlanta, Ga
- I•••••••• C•••••• A••••••• formerApr 11, 2006 to Dec 31, 2009 · Atlanta, Ga
- I••••••••• P••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 2, 2019, registered Dec 3, 2019 (335 days) · Affiliated broker-dealer or bank to another
- C••• I••••••••• A•••••••• I••• to I••••••••• P••••••• L••left Sep 2, 2016, registered Aug 25, 2016 (-8 days) · Other
- R••••••• H••••••• I••••••••• A•••••••• I••• to C••• I••••••••• A•••••••• I•••left Dec 31, 2013, registered Jan 23, 2014 (23 days) · Other
- I•••••••• C•••••• A••••••• to R••••••• H••••••• I••••••••• A•••••••• I•••left Dec 31, 2009, registered Jan 11, 2010 (11 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address