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.
D•••• S••••••
- T•• S•••••••• F•••••••• A••••••• BD affiliated currentsince Apr 14, 2022 · Atlanta, Ga
- S•••••••• F••••••••• I••• formerDec 5, 2016 to Mar 25, 2022 · Atlanta, Ga
- O•••• W•••••• I••• BD affiliatedDec 5, 2016 to Mar 25, 2022 · Atlanta, Ga
- W••••••• F•••••••• S•••••••• I••• formerDec 5, 2016 to Mar 25, 2022 · Atlanta, Ga
- F•• S••••••••• C••••••••• formerDec 5, 2016 to Mar 25, 2022 · Atlanta, Ga
- R•• A•••••••• L•• independent RIAFeb 8, 2016 to Oct 21, 2016 · Vestavia Hills, Al
- F•• S••••••••• C••••••••• formerJan 23, 2007 to Jul 18, 2011 · Atlanta, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 14, 2006 to Jun 16, 2006 · Birmingham, Al
- W••••••• F•••••••• S•••••••• I••• to F•• S••••••••• C•••••••••left Mar 25, 2022, registered Dec 5, 2016 (-1936 days) · channel change inside one enterprise, not a move
- O•••• W•••••• I••• to S•••••••• F••••••••• I•••left Mar 25, 2022, registered Dec 5, 2016 (-1936 days) · channel change inside one enterprise, not a move
- S•••••••• F••••••••• I••• to T•• S•••••••• F•••••••• A•••••••left Mar 25, 2022, registered Apr 14, 2022 (20 days) · Affiliated broker-dealer or bank to another
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Mar 25, 2022, registered Dec 5, 2016 (-1936 days) · channel change inside one enterprise, not a move
- R•• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Oct 21, 2016, registered Dec 5, 2016 (45 days) · Other
- F•• S••••••••• C••••••••• to R•• A•••••••• L••left Jul 18, 2011, registered Feb 8, 2016 (1666 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•• S••••••••• C•••••••••left Jun 16, 2006, registered Jan 23, 2007 (221 days) · Other
- D•••• S•••••• left S•••••••• F••••••••• I••• for T•• S•••••••• F•••••••• A••••••• (registered 2022-04-14)Mar 25, 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
- 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