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.
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Atlanta, Ga
- I••••• F•••••••• C••••••••• formerSep 29, 2016 to Feb 16, 2018 · Hiram, Ga
- C••• F•••••••• S•••••••• L••• formerOct 9, 2013 to Sep 23, 2016 · Marietta, Ga
- I••••• F•••••••• C••••••••• formerJun 9, 2011 to Mar 26, 2013 · Stevenson Ranch, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jun 1, 2011 · Granada Hills, Ca
- W••• I••••••••• I••• unclassifiedApr 20, 2006 to May 2, 2009 · Granada Hills, Ca
- M••••• S•••••• D• I••• unclassifiedSep 26, 2005 to Mar 13, 2006 · Woodland Hills, Ca
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 16, 2018, registered Feb 14, 2018 (-2 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to I••••• F•••••••• C•••••••••left Sep 23, 2016, registered Sep 29, 2016 (6 days) · Other
- I••••• F•••••••• C••••••••• to C••• F•••••••• S•••••••• L•••left Mar 26, 2013, registered Oct 9, 2013 (197 days) · Other
- C•••• I••••••••• S••••••• C•••• to I••••• F•••••••• C•••••••••left Jun 1, 2011, registered Jun 9, 2011 (8 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to W••• I••••••••• I•••left Mar 13, 2006, registered Apr 20, 2006 (38 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address