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.
P•••••• R••• E••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 12, 2025 · Macon, Ga
- R•••••• J•••• • A••••••••• I••• national BDMay 15, 2017 to Mar 17, 2025 · Macon, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to May 9, 2017 · Macon, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 28, 2007 to Jun 1, 2009 · Macon, Ga
- A• G• E•••••• • S•••• I••• unclassifiedApr 25, 2005 to Nov 23, 2007 · Macon, Ga
- R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 17, 2025, registered Mar 12, 2025 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left May 9, 2017, registered May 15, 2017 (6 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to C•••••••• G••••• M•••••• I•••left Nov 23, 2007, registered Nov 28, 2007 (5 days) · Other
- P•••••• R••• E•••• left R•••••• J•••• • A••••••••• I••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2025-03-12)Mar 17, 2025 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address