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•••• O•••••• R•••••••••
- P• S•••••• W••••• M••••••••• L•• state registered currentsince Jul 31, 2020 · Atlanta, Ga
- A••••••• A••••••• S••••••• formerDec 3, 2019 to Aug 5, 2020 · Atlanta, Ga
- M•••••• A••••• S••••••••• L•• BD affiliatedAug 12, 2015 to Mar 26, 2018 · San Diego, Ca
- W•••••• • R••• formerNov 8, 2011 to Aug 28, 2012 · Atlanta, Ga
- A••••••• A••••••• S••••••• to P• S•••••• W••••• M••••••••• L••left Aug 5, 2020, registered Jul 31, 2020 (-5 days) · RIA to a state-registered adviser
- M•••••• A••••• S••••••••• L•• to A••••••• A••••••• S•••••••left Mar 26, 2018, registered Dec 3, 2019 (617 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••••• • R••• to M•••••• A••••• S••••••••• L••left Aug 28, 2012, registered Aug 12, 2015 (1079 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address