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•••• L•• K•••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 7, 2024 · Atlanta, Ga
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Mar 1, 2019 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseJan 5, 2007 to Feb 27, 2019 · Atlanta, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDSep 25, 2006 to Nov 24, 2006 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left Feb 27, 2019, registered Mar 1, 2019 (2 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 24, 2006, registered Jan 5, 2007 (42 days) · Affiliated broker-dealer or bank 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address