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••••• A•••• F••••
- E•••••••• A•••••••• L•• national BD currentsince Dec 12, 2022 · Decatur, Ga
- P•••• S••••••••• L•• no RAUMMay 17, 2019 to Dec 13, 2022 · Atlanta, Ga
- M••••• S•••••• wirehouseOct 27, 2015 to Feb 1, 2019 · Atlanta, Ga
- V••••• C•••••• A•••••••• L•• otherSep 16, 2015 to Sep 24, 2015 · Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2012 to Aug 17, 2015 · Atlanta, Ga
- T• A••••••••• I••• formerAug 16, 2006 to Aug 23, 2010 · Atlanta, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 16, 2006 to Aug 23, 2010 · Atlanta, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDJun 7, 2004 to Jun 29, 2005 · Atlanta, Ga
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Dec 13, 2022, registered Dec 12, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to P•••• S••••••••• L••left Feb 1, 2019, registered May 17, 2019 (105 days) · Wirehouse to affiliated broker-dealer or bank
- V••••• C•••••• A•••••••• L•• to M••••• S••••••left Sep 24, 2015, registered Oct 27, 2015 (33 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••• C•••••• A•••••••• L••left Aug 17, 2015, registered Sep 16, 2015 (30 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 23, 2010, registered Nov 9, 2012 (809 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 23, 2010, registered Aug 16, 2006 (-1468 days) · channel change inside one enterprise, not a move
- A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I•••left Jun 29, 2005, registered Aug 16, 2006 (413 days) · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• A•••• F•••• left P•••• S••••••••• L•• for E•••••••• A•••••••• L•• (registered 2022-12-12)Dec 13, 2022 · Advisor changed firm · 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address