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.
N•••••• C•••• H••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 2, 2022 · Albany, Ga
- L•• F•••••••• L•• BD affiliatedSep 19, 2011 to Aug 12, 2022 · Albany, Ga
- S•••••• S••••••••• I••• BD affiliatedFeb 13, 2006 to Sep 6, 2011 · Columbus, Ga
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 12, 2022, registered Aug 2, 2022 (-10 days) · RIA to affiliated broker-dealer or bank
- S•••••• S••••••••• I••• to L•• F•••••••• L••left Sep 6, 2011, registered Sep 19, 2011 (13 days) · Other
- N•••••• C•••• H•••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-08-02)Aug 12, 2022 · 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
- 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