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.
R••• D••••••• M••••••••
- S•••••••• A••••••• no RAUM currentsince Aug 16, 2019 · Atlanta, Ga
- I••••••••• W•••• state registered currentsince Jul 26, 2017 · Atlanta, Ga
- C••••••••• F•••••••• N•••••• national BDJun 23, 2015 to Jun 13, 2017 · Atlanta, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 13, 2012 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 25, 2007 to Jun 1, 2009 · Atlanta, Ga
- C••••••••• F•••••••• N•••••• to I••••••••• W••••left Jun 13, 2017, registered Jul 26, 2017 (43 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• S•••••• to C••••••••• F•••••••• N••••••left Jan 13, 2012, registered Jun 23, 2015 (1257 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
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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address