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•••••• R•••••••
- C•••••••• F•••••••• S••••••••• L•• former currentsince Sep 9, 2015 · Johns Creek, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 15, 2015 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 3, 2005 to Jun 1, 2009 · Atlanta, Ga
- M••••• S•••••• D• I••• unclassifiedFeb 18, 2003 to May 2, 2005 · Alpharetta, Ga
- M••••• S•••••• to C•••••••• F•••••••• S••••••••• L••left Sep 15, 2015, registered Sep 9, 2015 (-6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left May 2, 2005, registered May 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
- Former SEC-registered adviserderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address