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.
A•••••• A••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerFeb 16, 2022 to Sep 1, 2023 · Scottsdale, Az
- F•• S••••••••• C••••••••• formerSep 26, 2018 to Sep 13, 2021 · Atlanta, Ga
- O•••• F•• I••• formerOct 29, 2014 to Jul 31, 2018 · Fairburn, Ga
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 6, 2012 to Jan 4, 2014 · Atlanta, Ga
- B••• I••••••••• S•••••••• I••• formerSep 1, 2011 to Jan 30, 2012 · Stockbridge, Ga
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to S•••••••• F••••••••• I•••left Sep 13, 2021, registered Feb 16, 2022 (156 days) · channel change inside one enterprise, not a move
- O•••• F•• I••• to F•• S••••••••• C•••••••••left Jul 31, 2018, registered Sep 26, 2018 (57 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to O•••• F•• I•••left Jan 4, 2014, registered Oct 29, 2014 (298 days) · Other
- B••• I••••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Jan 30, 2012, registered Mar 6, 2012 (36 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address