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••••• W•••••• F••••
- S••• A••••••• S••••••• L•• C• mixed wealth currentsince Sep 30, 2024 · Austin, Tx
- T••••• A••••••• S•••••••• I••• BD affiliatedJul 12, 2017 to Dec 15, 2023 · Atlanta, Ga
- T••• C•••••• M••••••••• L••• independent RIANov 27, 2013 to Dec 15, 2016 · San Rafael, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 8, 2012 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Baltimore, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJan 22, 2002 to Feb 21, 2006 · Baltimore, Md
- T••••• A••••••• S•••••••• I••• to S••• A••••••• S••••••• L•• C•left Dec 15, 2023, registered Sep 30, 2024 (290 days) · Affiliated broker-dealer or bank to independent RIA
- T••• C•••••• M••••••••• L••• to T••••• A••••••• S•••••••• I•••left Dec 15, 2016, registered Jul 12, 2017 (209 days) · Other
- M••••• S•••••• to T••• C•••••• M••••••••• L•••left Feb 8, 2012, registered Nov 27, 2013 (658 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · Other
- R••••• W•••••• F•••• left T••••• A••••••• S•••••••• I••• for S••• A••••••• S••••••• L•• C• (registered 2024-09-30)Dec 15, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address