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•••••• G••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 4, 2019 · Fort Mill, Sc
- A•••••• G••••• I•••••••• U••• L•• formerFeb 27, 2019 to Jun 18, 2019 · Alpharetta, Ga
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedMar 10, 2016 to Nov 27, 2017 · Columbus, Oh
- N••••••••• S••••••••• L•• no RAUMMay 15, 2012 to Mar 21, 2016 · Columbus, Oh
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedNov 6, 2009 to May 15, 2012 · Columbus, Oh
- P••• I••••••••• L•• asset managerSep 5, 2002 to Nov 6, 2007 · Alpharetta, Ga
- A•••••• G••••• I•••••••• U••• L•• to L•• F•••••••• L••left Jun 18, 2019, registered Oct 4, 2019 (108 days) · Other
- N••••••••• I••••••••• A•••••••• L•• to A•••••• G••••• I•••••••• U••• L••left Nov 27, 2017, registered Feb 27, 2019 (457 days) · Other
- N••••••••• S••••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Mar 21, 2016, registered Mar 10, 2016 (-11 days) · corporate re-registration, not a move
- N••••••••• I••••••••• A•••••••• L•• to N••••••••• S••••••••• L••left May 15, 2012, registered May 15, 2012 (0 days) · Other
- P••• I••••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Nov 6, 2007, registered Nov 6, 2009 (731 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