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.
N•••• B• D•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 30, 2024 · Rome, Ga
- T•••• A•••••••• L•• formerNov 3, 2014 to Feb 15, 2024 · Rome, Ga
- L•• F•••••••• L•• BD affiliatedJan 12, 2009 to Oct 13, 2014 · Rome, Ga
- A••••••••• A•••••• S•••••••• I••• unclassifiedDec 2, 2004 to Jan 12, 2009 · Atlanta, Ga
- T•••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 15, 2024, registered Sep 30, 2024 (228 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to T•••• A•••••••• L••left Oct 13, 2014, registered Nov 3, 2014 (21 days) · Other
- A••••••••• A•••••• S•••••••• I••• to L•• F•••••••• L••left Jan 12, 2009, registered Jan 12, 2009 (0 days) · Other
- N•••• B• D••••• left T•••• A•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-09-30)Feb 15, 2024 · a•••••• firm change · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address