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••••• S•••• M•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 2, 2025 · Irvine, Ca
- A•••••• A••••••• S••••••• formerOct 25, 2019 to Apr 25, 2025 · Kennesaw, Ga
- 1•• G••••• A••••••• I•• formerFeb 6, 2012 to Oct 25, 2019 · Spartanburg, Sc
- W•••• F•••• A••••••• wirehouseJun 15, 2002 to Feb 6, 2012 · Spartanburg, Sc
- A•••••• A••••••• S••••••• to J••• M••••• S••••••••• L••left Apr 25, 2025, registered May 2, 2025 (7 days) · Affiliated broker-dealer or bank to wirehouse
- 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to 1•• G••••• A••••••• I••left Feb 6, 2012, registered Feb 6, 2012 (0 days) · Other
- E••••• S•••• M••••• left A•••••• A••••••• S••••••• for J••• M••••• S••••••••• L•• (registered 2025-05-02)Apr 25, 2025 · Advisor changed firm · fact
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