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.
T••••• P•••••• C••••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jul 21, 2014 · Hilton Head Island, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 26, 2012 to Feb 8, 2013 · Charlotte, Nc
- L••• K••• • C•••••• formerJan 17, 2012 to May 22, 2012 · Atlanta, Ga
- M••••••• C••••••• I••• unclassifiedSep 3, 2010 to Jan 17, 2012 · Bluffton, Sc
- M••••• K••••• • C••••••• L•• formerSep 24, 2009 to Aug 30, 2010 · Atlanta, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 8, 2009 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 14, 2008 to Jun 1, 2009 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• F•••••••• A•••••••• L••left Feb 8, 2013, registered Jul 21, 2014 (528 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L••• K••• • C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 22, 2012, registered Nov 26, 2012 (188 days) · Other
- M••••••• C••••••• I••• to L••• K••• • C••••••left Jan 17, 2012, registered Jan 17, 2012 (0 days) · Other
- M••••• K••••• • C••••••• L•• to M••••••• C••••••• I•••left Aug 30, 2010, registered Sep 3, 2010 (4 days) · Other
- M••••• S•••••• to M••••• K••••• • C••••••• L••left Oct 8, 2009, registered Sep 24, 2009 (-14 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address