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••••• H• K••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Brentwood, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 31, 2021 to Mar 31, 2025 · Jacksonville, Fl
- A••••••• F•••••••• A•••••••• L•• BD affiliatedAug 23, 2013 to May 2, 2019 · Buford, Ga
- M••••• S•••••• wirehouseApr 27, 2011 to Oct 4, 2011 · Atlanta, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 7, 2010 to Jan 11, 2011 · Birmingham, Al
- T• A••••••••• I••• formerDec 7, 2010 to Jan 11, 2011 · Birmingham, Al
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerMay 8, 2009 to Aug 11, 2010 · Atlanta, Ga
- E•••••• C•••••• M••••••••• L•• formerFeb 6, 2009 to May 15, 2009 · Arlington, Va
- 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
- A••••••• F•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 2, 2019, registered May 31, 2021 (760 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••• F•••••••• A•••••••• L••left Oct 4, 2011, registered Aug 23, 2013 (689 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 11, 2011, registered Dec 7, 2010 (-35 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to M••••• S••••••left Jan 11, 2011, registered Apr 27, 2011 (106 days) · Other
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Aug 11, 2010, registered Dec 7, 2010 (118 days) · Other
- E•••••• C•••••• M••••••••• L•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left May 15, 2009, registered May 8, 2009 (-7 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address