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.
D••••• T••••• M••••••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Jan 5, 2018 · Thomson, Ga
- F•••••••• E••••• S•••••••• I••• formerJan 4, 2013 to Jan 9, 2018 · Thomson, Ga
- R••••••• H••••••• I••••••••• A•••••••• I••• formerFeb 9, 2010 to Dec 31, 2012 · Thomson, Ga
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 13, 2009 to Jan 15, 2010 · Atlanta, Ga
- F•••••••• E••••• S•••••••• I••• to O• I••••••••• M••••••••• C•left Jan 9, 2018, registered Jan 5, 2018 (-4 days) · Other
- R••••••• H••••••• I••••••••• A•••••••• I••• to F•••••••• E••••• S•••••••• I•••left Dec 31, 2012, registered Jan 4, 2013 (4 days) · Other
- M•• I•••••••• S•••••••• L•• to R••••••• H••••••• I••••••••• A•••••••• I•••left Jan 15, 2010, registered Feb 9, 2010 (25 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