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•••••• M•••••• D•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Conyers, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 10, 2021 to Mar 31, 2025 · Conyers, Ga
- W•••• F•••• A••••••• wirehouseJan 14, 2019 to Feb 16, 2021 · Stone Mountain, Ga
- P••••••• C•••••• A••••••• C••••••••• formerAug 9, 2017 to Aug 3, 2018 · Lilburn, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2011 to Aug 7, 2017 · Conyers, Ga
- E•••••••• A•••••••• L•• national BDJul 25, 2008 to Jan 11, 2010 · Atlanta, Ga
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 5, 2004 to Nov 1, 2007 · Atlanta, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 16, 2021, registered Mar 10, 2021 (22 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••• C•••••• A••••••• C••••••••• to W•••• F•••• A•••••••left Aug 3, 2018, registered Jan 14, 2019 (164 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• C•••••• A••••••• C•••••••••left Aug 7, 2017, registered Aug 9, 2017 (2 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 11, 2010, registered Oct 3, 2011 (630 days) · Affiliated broker-dealer or bank to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Nov 1, 2007, registered Jul 25, 2008 (267 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address