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.
C•••••• A•• C••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 30, 2014 · Memphis, Tn
- L•• F•••••••• L•• BD affiliatedMar 30, 2012 to Feb 18, 2014 · Blairsville, Ga
- S•••••• S••••••••• I••• BD affiliatedMay 25, 2005 to Apr 4, 2012 · Columbus, Ga
- P•••••• C••••••••• G••••• I••• unclassifiedJan 20, 2005 to Jun 3, 2005 · Memphis, Tn
- S••••••• G•••• C•••••• unclassifiedApr 15, 2004 to Dec 8, 2004 · Memphis, Tn
- L•• F•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 18, 2014, registered Jan 30, 2014 (-19 days) · Other
- S•••••• S••••••••• I••• to L•• F•••••••• L••left Apr 4, 2012, registered Mar 30, 2012 (-5 days) · Other
- P•••••• C••••••••• G••••• I••• to S•••••• S••••••••• I•••left Jun 3, 2005, registered May 25, 2005 (-9 days) · Other
- S••••••• G•••• C•••••• to P•••••• C••••••••• G••••• I•••left Dec 8, 2004, registered Jan 20, 2005 (43 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address