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.
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- M••••• S•••••• wirehouse currentsince Jan 10, 2024 · Atlanta, Ga
- T••••• A••••••• S•••••••• I••• BD affiliatedJul 24, 2017 to Jan 2, 2024 · Atlanta, Ga
- V••• F•••••••• P•••••••• L•• formerJul 31, 2012 to Jan 13, 2015 · Damascus, Md
- V••• R••••••••• A•••••••• L•• otherJul 31, 2012 to Jan 13, 2015 · Damascus, Md
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 31, 2012 to Feb 2, 2017 · Damascus, Md
- S•• A•••••••• I••• formerMar 28, 2012 to May 14, 2012 · Atlanta, Ga
- Q•••••• A•••• M••••••••• I••• formerJun 30, 2011 to Mar 19, 2012 · Minneapolis, Mn
- F•• S••••••••• C••••••••• formerJun 22, 2007 to May 20, 2011 · Atlanta, Ga
- T••••• A••••••• S•••••••• I••• to M••••• S••••••left Jan 2, 2024, registered Jan 10, 2024 (8 days) · Affiliated broker-dealer or bank to wirehouse
- V••• F•••••••• A•••••••• I••• to T••••• A••••••• S•••••••• I•••left Feb 2, 2017, registered Jul 24, 2017 (172 days) · Other
- V••• R••••••••• A•••••••• L•• to V••• F•••••••• P•••••••• L••left Jan 13, 2015, registered Jul 31, 2012 (-896 days) · channel change inside one enterprise, not a move
- V••• F•••••••• P•••••••• L•• to V••• R••••••••• A•••••••• L••left Jan 13, 2015, registered Jul 31, 2012 (-896 days) · Other
- S•• A•••••••• I••• to V••• F•••••••• P•••••••• L••left May 14, 2012, registered Jul 31, 2012 (78 days) · Other
- Q•••••• A•••• M••••••••• I••• to S•• A•••••••• I•••left Mar 19, 2012, registered Mar 28, 2012 (9 days) · Other
- F•• S••••••••• C••••••••• to Q•••••• A•••• M••••••••• I•••left May 20, 2011, registered Jun 30, 2011 (41 days) · Other
- C•••••• B• H•••• left T••••• A••••••• S•••••••• I••• for M••••• S•••••• (registered 2024-01-10)Jan 2, 2024 · Advisor changed firm · 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address