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.
D•••••• L••• B•••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 30, 2021 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseFeb 4, 2005 to Sep 17, 2021 · Atlanta, Ga
- M••••• S•••••• D• I••• unclassifiedSep 5, 2003 to Feb 9, 2005 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left Sep 17, 2021, registered Aug 30, 2021 (-18 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2005, registered Feb 4, 2005 (-5 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address