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.
S•••• K•• L•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2023 · Lavonia, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 19, 2006 to Jan 8, 2008 · Athens, Ga
- I•••••••• C•••••• A••••••• formerJan 10, 2005 to Dec 31, 2005 · Elberton, Ga
- E•••••• P•••• A••••••• I••• unclassifiedApr 12, 2004 to Dec 31, 2004
- W•••••• • R••• formerJun 12, 2003 to Feb 19, 2004 · Edmond, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••left Jan 8, 2008, registered Mar 21, 2023 (5551 days) · Wirehouse to affiliated broker-dealer or bank
- I•••••••• C•••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2005, registered Jan 19, 2006 (19 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Jan 10, 2005 (10 days) · corporate re-registration, not a move
- W•••••• • R••• to E•••••• P•••• A••••••• I•••left Feb 19, 2004, registered Apr 12, 2004 (53 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