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••••• A••• F••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 27, 2016 · Woodstock, Ga
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 27, 2011 to Aug 27, 2014 · Atlanta, Ga
- P•••••• A•••••••• L•• independent RIAApr 9, 2010 to Feb 4, 2011 · Atlanta, Ga
- S••••••• F•••••••• S•••••••• I••• formerNov 14, 2005 to Apr 19, 2010 · Atlanta, Ga
- P•••••••• S••••••••• I••• BD affiliatedApr 17, 2003 to Oct 24, 2005 · Kennesaw, Ga
- M•• I•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Aug 27, 2014, registered Apr 27, 2016 (609 days) · Other
- P•••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 4, 2011, registered Apr 27, 2011 (82 days) · Other
- S••••••• F•••••••• S•••••••• I••• to P•••••• A•••••••• L••left Apr 19, 2010, registered Apr 9, 2010 (-10 days) · Other
- P•••••••• S••••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Oct 24, 2005, registered Nov 14, 2005 (21 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address