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.
L••• H••• H•••••
- O•••• W•••••• I••• BD affiliated currentsince Aug 4, 2023 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedMar 1, 2023 to Mar 23, 2023 · San Diego, Ca
- C••••••••• F•••••••• N•••••• national BDJun 14, 2021 to Jul 12, 2022 · Johns Creek, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 28, 2015 to May 6, 2021 · Alpharetta, Ga
- T• A••••••••• I••• formerDec 28, 2015 to May 6, 2021 · Alpharetta, Ga
- L•• F•••••••• L•• to O•••• W•••••• I•••left Mar 23, 2023, registered Aug 4, 2023 (134 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Jul 12, 2022, registered Mar 1, 2023 (232 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 6, 2021, registered Dec 28, 2015 (-1956 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 6, 2021, registered Dec 28, 2015 (-1956 days) · channel change inside one enterprise, not a move
- L••• H••• H••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2023-08-04)Mar 23, 2023 · Advisor changed firm · fact
- L••• H••• H••••• left C••••••••• F•••••••• N•••••• for L•• F•••••••• L•• (registered 2023-03-01)Jul 12, 2022 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address