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.
J••••• B••••• A••••
- C••••••• P••••••• independent RIA currentsince Oct 24, 2016 · Canton, Ga
- U••• F•••••••• P••••••• S••••••• formerJul 9, 2013 to Sep 23, 2016 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 26, 2013 · Salt Lake City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedNov 30, 2009 to Jan 3, 2011 · Salt Lake City, Ut
- U••• F•••••••• P••••••• S••••••• to C••••••• P•••••••left Sep 23, 2016, registered Oct 24, 2016 (31 days) · Other
- W•••• F•••• A••••••• to U••• F•••••••• P••••••• S•••••••left Jun 26, 2013, registered Jul 9, 2013 (13 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address