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.
E••••• C•••••• B••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 14, 2013 · Cropwell, Al
- J••• M••••• S••••••••• L•• wirehouseJun 20, 2006 to Jul 30, 2013 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 13, 2003 to Jun 21, 2006 · Alpharetta, Ga
- M•••••• L•••• T•••• C•••••• unclassifiedSep 5, 2000 to Jun 21, 2006 · Jacksonville , Fl
- J••• M••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jul 30, 2013, registered Aug 14, 2013 (15 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L•••• T•••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 21, 2006, registered Jan 13, 2003 (-1255 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jun 21, 2006, registered Jun 20, 2006 (-1 days) · Wirehouse to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address