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.
T••••• M•••••• B••••••••
- O•••• W•••••• I••• BD affiliated currentsince Apr 7, 2022 · Rochester, Mn
- C••••• C•••••• A•••••••• L•• independent RIAMay 27, 2021 to Oct 20, 2021 · Vero Beach, Fl
- C••••• C•••••• G••••• I••• formerMay 27, 2021 to Oct 20, 2021 · Atlanta, Ga
- F•• S••••••••• C••••••••• formerSep 10, 2019 to May 10, 2021 · Atlanta, Ga
- C••••• C•••••• G••••• I••• to C••••• C•••••• A•••••••• L••left Oct 20, 2021, registered May 27, 2021 (-146 days) · RIA to RIA
- C••••• C•••••• A•••••••• L•• to C••••• C•••••• G••••• I•••left Oct 20, 2021, registered May 27, 2021 (-146 days) · channel change inside one enterprise, not a move
- F•• S••••••••• C••••••••• to C••••• C•••••• G••••• I•••left May 10, 2021, registered May 27, 2021 (17 days) · Affiliated broker-dealer or bank to independent RIA
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