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.
J••• R••••• H•••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 9, 2021 · Woodstock, Ga
- W•••• F•••• A••••••• wirehouseOct 30, 2015 to Sep 14, 2021 · Atlanta, Ga
- S•••••••• S••••••••• BD affiliatedSep 10, 2014 to Nov 3, 2015 · Allentown, Pa
- L•• F•••••••• L•• BD affiliatedMay 21, 2004 to Sep 2, 2014 · Center Valley, Pa
- W•••• F•••• A••••••• to O•••• A••••••• S•••••••• L••left Sep 14, 2021, registered Sep 9, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• S••••••••• to W•••• F•••• A•••••••left Nov 3, 2015, registered Oct 30, 2015 (-4 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 2, 2014, registered Sep 10, 2014 (8 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
- 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