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••• A••• B•••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Apr 1, 2019 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2007 to Jan 22, 2019 · Atlanta, Ga
- D••••••• B••• S••••••••• I••• no RAUMJul 30, 2004 to Nov 22, 2006 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Jan 22, 2019, registered Apr 1, 2019 (69 days) · Wirehouse to independent RIA · moved with a team
- D••••••• B••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 22, 2006, registered Nov 13, 2007 (356 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