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.
C••••••••• L•• J••••
- I•• A•••••••• L•• independent RIA currentsince Nov 4, 2015 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2009 to Nov 4, 2015 · Alpharetta, Ga
- U•• F•••••••• S••••••• I••• wirehouseMay 16, 2006 to Oct 2, 2009 · Atlanta, Ga
- M••••• S•••••• • C•• L•• unclassifiedAug 3, 2005 to May 10, 2006 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 31, 2003 to Aug 4, 2005 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I•• A•••••••• L••left Nov 4, 2015, registered Nov 4, 2015 (0 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 2, 2009, registered Sep 24, 2009 (-8 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left May 10, 2006, registered May 16, 2006 (6 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Aug 4, 2005, registered Aug 3, 2005 (-1 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address