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.
T••• E••• B•••••••••
- S•••••• S••••••••• I••• BD affiliated currentsince Mar 3, 2016 · Woodstock, Ga
- S••••••• I••••••••• S•••••••• I••• formerFeb 5, 2014 to Feb 18, 2016 · Columbia, Md
- E•••••••• A•••••••• L•• national BDAug 24, 2012 to Jan 10, 2014 · Alpharetta, Ga
- S••••••• I••••••••• S•••••••• I••• to S•••••• S••••••••• I•••left Feb 18, 2016, registered Mar 3, 2016 (14 days) · Other
- E•••••••• A•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Jan 10, 2014, registered Feb 5, 2014 (26 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