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.
S•••• M•••••• M••••
- C••••••• P••••••• independent RIA currentsince Oct 6, 2022 · Alpharetta, Ga
- W••••• F•••••••• A•••••••• L•• formerJan 6, 2022 to Oct 12, 2022 · Milwaukee, Wi
- R•••••• W••••• M••••••••• L•• formerNov 10, 2008 to Dec 31, 2021 · Alpharetta, Ga
- N•••••• F•••••••• A•••••••• L•• unclassifiedJun 17, 2003 to Dec 31, 2008 · Alpharetta, Ga
- T•••• A•••••••• L•• formerJan 24, 2003 to Jul 22, 2003 · Alpharetta, Ga
- W••••• F•••••••• A•••••••• L•• to C••••••• P•••••••left Oct 12, 2022, registered Oct 6, 2022 (-6 days) · corporate re-registration, not a move
- R•••••• W••••• M••••••••• L•• to W••••• F•••••••• A•••••••• L••left Dec 31, 2021, registered Jan 6, 2022 (6 days) · RIA to RIA · moved with a team
- N•••••• F•••••••• A•••••••• L•• to R•••••• W••••• M••••••••• L••left Dec 31, 2008, registered Nov 10, 2008 (-51 days) · Other
- T•••• A•••••••• L•• to N•••••• F•••••••• A•••••••• L••left Jul 22, 2003, registered Jun 17, 2003 (-35 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address