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.
D•••• S•••••• W••••••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Dunwoody, Ga
- A••••••• P••••••••• A•••••••• I•• formerAug 1, 2018 to Oct 11, 2024 · Holbrook, Ny
- E•••••••• A•••••••• L•• national BDNov 27, 2007 to Aug 13, 2018 · Atlanta, Ga
- S••••••• I••••••••• S•••••••• I••• formerMar 11, 2003 to Oct 26, 2004 · Dunwoody, Ga
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to A••••••• P••••••••• A•••••••• I••left Aug 13, 2018, registered Aug 1, 2018 (-12 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• I••••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Oct 26, 2004, registered Nov 27, 2007 (1127 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address