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•••••• L•••• S••••
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 27, 2018 · Carrollton, Ga
- I•• A•••••••• L•• i••••••••• wealthJan 7, 2014 to Aug 28, 2014 · Atlanta, Ga
- I•• A•••••••• L•• i••••••••• wealthJan 7, 2014 to Dec 10, 2018 · Carrollton, Ga
- I••••••••• F•••••••• P••••••• BD affiliatedAug 2, 2010 to Jan 21, 2014 · Carrollton, Ga
- E••••• J•••• national BDJan 25, 2008 to Jun 24, 2010 · Carrollton, Ga
- I•• A•••••••• L•• to C••••••••• F•••••••• N••••••left Dec 10, 2018, registered Nov 27, 2018 (-13 days) · RIA to affiliated broker-dealer or bank
- I••••••••• F•••••••• P••••••• to I•• A•••••••• L••left Jan 21, 2014, registered Jan 7, 2014 (-14 days) · Other
- E••••• J•••• to I••••••••• F•••••••• P•••••••left Jun 24, 2010, registered Aug 2, 2010 (39 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address