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.
J••••••• F•••• T••••••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Feb 1, 2021 · Atlanta, Ga
- S••••••••• F•••••••• S••••••• L•• formerJan 16, 2020 to Jan 14, 2021 · Atlanta, Ga
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Dec 31, 2019 · Atlanta, Ga
- D••••••• B••• S••••••••• I••• no RAUMJul 18, 2011 to Sep 6, 2016 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 5, 2011 · Atlanta, Ga
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 24, 2005 to Oct 23, 2009 · Atlanta, Ga
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 16, 2002 to May 17, 2005 · Macon, Ga
- S••••••••• F•••••••• S••••••• L•• to A•••••• W••••• M••••••••• L••left Jan 14, 2021, registered Feb 1, 2021 (18 days) · RIA to RIA · moved with a team
- R•••••• J•••• • A••••••••• I••• to S••••••••• F•••••••• S••••••• L••left Dec 31, 2019, registered Jan 16, 2020 (16 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••left Jul 5, 2011, registered Jul 18, 2011 (13 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 17, 2005, registered Jun 24, 2005 (38 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address