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.
D•••••• C••• B•••••
- M•••• F•••••••• A••••••• BD affiliated currentsince May 3, 2023 · Alpharetta, Ga
- L•• F•••••••• L•• BD affiliatedJul 23, 2013 to Apr 28, 2023 · Atlanta, Ga
- N•• A•••••• S•••••••• L•• formerJun 8, 2009 to Dec 19, 2012 · Austin, Tx
- L•• F•••••••• L•• to M•••• F•••••••• A•••••••left Apr 28, 2023, registered May 3, 2023 (5 days) · Affiliated broker-dealer or bank to independent RIA
- N•• A•••••• S•••••••• L•• to L•• F•••••••• L••left Dec 19, 2012, registered Jul 23, 2013 (216 days) · Other
- D•••••• C••• B••••• left L•• F•••••••• L•• for M•••• F•••••••• A••••••• (registered 2023-05-03)Apr 28, 2023 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address