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.
- P•••••••• A••••••• national BD currentsince May 28, 2021 · Duluth, Ga
- E•••••• A••••••• G••••• L•• BD affiliatedJan 23, 2017 to Jan 24, 2020 · Greenwood Village, Co
- V••• F•••••••• P•••••••• L•• formerJun 1, 2006 to May 2, 2008 · Tallahasse, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 7, 2003 to Apr 28, 2006 · Tallahassee, Fl
- E•••••• A••••••• G••••• L•• to P•••••••• A•••••••left Jan 24, 2020, registered May 28, 2021 (490 days) · Other
- V••• F•••••••• P•••••••• L•• to E•••••• A••••••• G••••• L••left May 2, 2008, registered Jan 23, 2017 (3188 days) · Other
- V•••• F•••••••• A•••••••• I••• to V••• F•••••••• P•••••••• L••left Apr 28, 2006, registered Jun 1, 2006 (34 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address