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.
R•••••• K•••• R•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 12, 2014 · Sarasota, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 26, 2010 to Aug 20, 2014 · Sarasota, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 17, 2008 to Jul 2, 2009 · Atlanta, Ga
- D••••••• B••• S••••••••• I••• no RAUMDec 11, 2006 to Dec 18, 2008 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 3, 2004 to Nov 24, 2006 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseFeb 7, 2003 to Jun 16, 2004 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 20, 2014, registered Aug 12, 2014 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 18, 2008, registered Dec 17, 2008 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to D••••••• B••• S••••••••• I•••left Nov 24, 2006, registered Dec 11, 2006 (17 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Jun 16, 2004, registered Jun 3, 2004 (-13 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address