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.
S••• C•••••• R•••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Apr 17, 2008 · Atlanta, Ga
- E•••• S••••••••• L•• BD affiliatedJul 20, 2007 to Mar 24, 2008 · Atlanta, Ga
- F•••• C•••••• B••• unclassifiedApr 12, 2004 to Sep 2, 2005 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerFeb 24, 2003 to Jan 22, 2007 · San Diego, Ca
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 24, 2008, registered Apr 17, 2008 (24 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• B•••left Jan 22, 2007, registered Apr 12, 2004 (-1015 days) · Other
- F•••• C•••••• B••• to E•••• S••••••••• L••left Sep 2, 2005, registered Jul 20, 2007 (686 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address