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••••• P•••••• J••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Mar 28, 2018 · Duluth, Ga
- I••••• F•••••••• C••••••••• formerOct 6, 2011 to Feb 20, 2018 · Appleton, Wi
- S••• C•••••• H•••••••• L•• formerMar 24, 2011 to Oct 7, 2011 · Atlanta, Ga
- C••••••••• I••• unclassifiedJun 2, 2010 to Mar 28, 2011 · Suwanee, Ga
- F•••• L••••• S••••••••• L•• unclassifiedJun 12, 2008 to Apr 27, 2010 · Suwanee, Ga
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 2, 2005 to Jun 17, 2008 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Feb 22, 2005 · Atlanta, Ga
- P••••••••• E••••• G••••• L•• unclassifiedMay 24, 2000 to Jul 1, 2003 · Atlanta, Ga
- I••••• F•••••••• C••••••••• to P•••••• A•••••• G••••• L••left Feb 20, 2018, registered Mar 28, 2018 (36 days) · Other · moved with a team
- S••• C•••••• H•••••••• L•• to I••••• F•••••••• C•••••••••left Oct 7, 2011, registered Oct 6, 2011 (-1 days) · Other
- C••••••••• I••• to S••• C•••••• H•••••••• L••left Mar 28, 2011, registered Mar 24, 2011 (-4 days) · Other
- F•••• L••••• S••••••••• L•• to C••••••••• I•••left Apr 27, 2010, registered Jun 2, 2010 (36 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to F•••• L••••• S••••••••• L••left Jun 17, 2008, registered Jun 12, 2008 (-5 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Feb 22, 2005, registered Mar 2, 2005 (8 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address