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••••• S•••••• wirehouse currentsince Jun 20, 2019 · Atlanta, Ga
- T•••• A•••••••• L•• formerMar 24, 2010 to May 28, 2019 · Atlanta, Ga
- C•••••••• F•••••••• G•••• A••••••• formerNov 19, 2003 to Sep 18, 2008 · Birmingham, Al
- S••••••••• S••••••••• L•• unclassifiedAug 24, 2001 to Feb 28, 2003 · Birmingham, Al
- T•••• A•••••••• L•• to M••••• S••••••left May 28, 2019, registered Jun 20, 2019 (23 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• F•••••••• G•••• A••••••• to T•••• A•••••••• L••left Sep 18, 2008, registered Mar 24, 2010 (552 days) · Other
- S••••••••• S••••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Feb 28, 2003, registered Nov 19, 2003 (264 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address