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.
S•••••••• E••• W•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 24, 2022 · Sandy Springs, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDNov 25, 2020 to Jan 17, 2022 · Atlanta, Ga
- A••••••• F••••••••• L••• BD affiliatedJan 7, 2020 to Jun 2, 2020 · Sacramento, Ca
- R•• formerJul 6, 2016 to Jan 7, 2020 · Kennesaw, Ga
- A•••••• F•••••••• S•••••••• L•• formerApr 27, 2015 to Nov 14, 2016 · Woodstock, Ga
- F•••• T•••• S••••••••• I••• BD affiliatedJul 3, 2014 to Mar 20, 2015 · Alpharetta, Ga
- W•••• F•••• A••••••• wirehouseMar 4, 2009 to Jun 12, 2014 · Dunwoody, Ga
- U•• F•••••••• S••••••• I••• wirehouseJul 14, 2008 to Mar 17, 2009 · Atlanta, Ga
- A••••••• F••••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Jun 2, 2020, registered Nov 25, 2020 (176 days) · RIA to affiliated broker-dealer or bank
- R•• to A••••••• F••••••••• L•••left Jan 7, 2020, registered Jan 7, 2020 (0 days) · corporate re-registration, not a move
- A•••••• F•••••••• S•••••••• L•• to R••left Nov 14, 2016, registered Jul 6, 2016 (-131 days) · Other · moved with a team
- F•••• T•••• S••••••••• I••• to A•••••• F•••••••• S•••••••• L••left Mar 20, 2015, registered Apr 27, 2015 (38 days) · Other
- W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••left Jun 12, 2014, registered Jul 3, 2014 (21 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 17, 2009, registered Mar 4, 2009 (-13 days) · Wirehouse to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address