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•••• L•••• B••••
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Jan 5, 2011 · Atlanta, Ga
- E•• F•••••••• A••••••• independent RIADec 19, 2007 to Jan 6, 2011 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseMay 2, 2006 to Nov 27, 2007 · Atlanta, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDAug 12, 2003 to Jan 5, 2006 · Alpharetta, Ga
- E•• F•••••••• A••••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Jan 6, 2011, registered Jan 5, 2011 (-1 days) · Other
- W•••• F•••• A••••••• to E•• F•••••••• A•••••••left Nov 27, 2007, registered Dec 19, 2007 (22 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jan 5, 2006, registered May 2, 2006 (117 days) · Affiliated broker-dealer or bank to wirehouse
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address