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•••••• H••••••• D••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 9, 2022 · Powder Springs, Ga
- C••••• A•••••• N••••••• L•• formerSep 17, 2019 to Feb 3, 2022 · Atlanta, Ga
- P•••••••• A••••••• national BDJan 17, 2017 to Sep 5, 2019 · Duluth, Ga
- S••••••• I••••••••• I••• formerMay 13, 2016 to Oct 19, 2016 · St. Petersburg, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 5, 2014 to May 13, 2016 · St. Petersburg, Fl
- F•• S••••••••• C••••••••• formerFeb 3, 2010 to Jul 28, 2014 · Atlanta, Ga
- C••••• A•••••• N••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 3, 2022, registered Feb 9, 2022 (6 days) · Affiliated broker-dealer or bank to another
- P•••••••• A••••••• to C••••• A•••••• N••••••• L••left Sep 5, 2019, registered Sep 17, 2019 (12 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to P•••••••• A•••••••left Oct 19, 2016, registered Jan 17, 2017 (90 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to T••••••••• F•••••••• A•••••••• L••left Jul 28, 2014, registered Aug 5, 2014 (8 days) · Other
- M•••••• H••••••• D•••••• left C••••• A•••••• N••••••• L•• for T••••• A••••••• S•••••••• I••• (registered 2022-02-09)Feb 3, 2022 · a•••••• firm change · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address