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.
M••••• J• T•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Dunwoody, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 31, 2021 to Mar 31, 2025 · Dunwoody, Ga
- E•••••••• A•••••••• L•• national BDAug 17, 2020 to Mar 15, 2021 · Atlanta, Ga
- F•••• T•••• S••••••••• I••• BD affiliatedJan 16, 2018 to Jul 9, 2020 · S. Chicago Heights, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 2, 2015 to Feb 1, 2018 · Munster, In
- I•••••••• C•••••• A••••••• formerSep 29, 2005 to Dec 31, 2012 · Tustin, Ca
- M••••• S•••••• D• I••• unclassifiedMar 7, 2000 to Aug 29, 2005 · Orland Park, Il
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 15, 2021, registered Mar 31, 2021 (16 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to E•••••••• A•••••••• L••left Jul 9, 2020, registered Aug 17, 2020 (39 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••left Feb 1, 2018, registered Jan 16, 2018 (-16 days) · Other
- I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••left Dec 31, 2012, registered Jan 2, 2015 (732 days) · Other
- M••••• S•••••• D• I••• to I•••••••• C•••••• A•••••••left Aug 29, 2005, registered Sep 29, 2005 (31 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address