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.
S••••• M• F•••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 30, 2019 · Atlanta, Ga
- J••• M••••• S••••••••• L•• wirehouseFeb 15, 2019 to Oct 1, 2019 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseMar 14, 2018 to Feb 12, 2019 · Atlanta, Ga
- R••••• W• B•••• • C•• I••••••••• mixed wealthMar 20, 2017 to Mar 15, 2018 · Charleston, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 2008 to Mar 9, 2017 · Burlington, Vt
- U•• F•••••••• S••••••• I••• wirehouseJun 9, 2006 to Aug 22, 2008 · South Burlington, Vt
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 1, 2019, registered Oct 30, 2019 (29 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Feb 12, 2019, registered Feb 15, 2019 (3 days) · Wirehouse to wirehouse · moved with a team
- R••••• W• B•••• • C•• I••••••••• to U•• F•••••••• S••••••• I•••left Mar 15, 2018, registered Mar 14, 2018 (-1 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••• W• B•••• • C•• I•••••••••left Mar 9, 2017, registered Mar 20, 2017 (11 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 22, 2008, registered Sep 17, 2008 (26 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address