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.
- E• W••••• A••••••• independent RIA currentsince Jan 11, 2024 · Torrance, Ca
- M••••• S•••••• wirehouseAug 16, 2022 to Dec 19, 2023 · Alpharetta, Ga
- E•••••• C•••••• M••••••••• L•• formerJul 8, 2021 to Sep 5, 2023 · Alpharetta, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 3, 2013 to Dec 31, 2020 · Carlsbad, Ca
- T• A••••••••• I••• formerSep 3, 2013 to Jan 11, 2021 · Carlsbad, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 16, 2012 · Laguna Hills, Ca
- C•••• I••••••••• S••••••• C•••• formerOct 10, 2011 to Oct 1, 2012 · San Clemente, Ca
- S•••••••• A••••••• L•• national BDOct 10, 2006 to Sep 9, 2011 · Atlanta, Ga
- F•• S••••••••• C••••••••• formerAug 16, 2004 to Jan 12, 2006 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 17, 2003 to Aug 11, 2004 · New York, Ny
- M••••• S•••••• to E• W••••• A•••••••left Dec 19, 2023, registered Jan 11, 2024 (23 days) · Wirehouse to independent RIA
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Aug 16, 2022 (-385 days) · corporate re-registration, not a move
- T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••left Jan 11, 2021, registered Jul 8, 2021 (178 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Sep 3, 2013 (-2676 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Nov 16, 2012, registered Sep 3, 2013 (291 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 9, 2011, registered Oct 10, 2011 (31 days) · Other
- F•• S••••••••• C••••••••• to S•••••••• A••••••• L••left Jan 12, 2006, registered Oct 10, 2006 (271 days) · Other
- C•••••••• G••••• M•••••• I••• to F•• S••••••••• C•••••••••left Aug 11, 2004, registered Aug 16, 2004 (5 days) · Other
- J••• S• K••• left M••••• S•••••• for E• W••••• A••••••• (registered 2024-01-11)Dec 19, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address