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.
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- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 2, 2016 · Savannah, Ga
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to May 2, 2016 · Savannah, Ga
- N•• E•••••• S••••••••• C••••••••• formerSep 30, 2010 to Jan 2, 2015 · Jacksonville, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 8, 2004 to Sep 13, 2010 · Savannah, Ga
- C•••••••• F•••••••• G•••• A••••••• formerFeb 11, 2003 to Dec 19, 2003 · Savannah, Ga
- M•• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 2, 2016, registered May 2, 2016 (0 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Sep 13, 2010, registered Sep 30, 2010 (17 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to M•• I•••••••• S•••••••• L••left Dec 19, 2003, registered Jan 8, 2004 (20 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address