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.
M•••••• D••• M•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Mar 5, 2015 · Alpharetta, Ga
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Feb 24, 2015 · Alpharetta, Ga
- M••••• K••••• • C••••••• L•• formerNov 19, 2010 to Feb 13, 2013 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseApr 28, 2010 to Nov 18, 2010 · Atlanta, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 28, 2010 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 4, 2004 to Jun 1, 2009 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseMar 11, 2002 to Nov 13, 2002 · Decatur, Ga
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Feb 24, 2015, registered Mar 5, 2015 (9 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Nov 18, 2010, registered Nov 19, 2010 (1 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Apr 28, 2010, registered Apr 28, 2010 (0 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Nov 13, 2002, registered Mar 4, 2004 (477 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address