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.
C•••••• T••• B••••
- S•••••••• B••••••••• L•• independent RIA currentsince Sep 18, 2020 · Watkinsville, Ga
- L•• F•••••••• L•• BD affiliatedJul 30, 2014 to Oct 1, 2020 · Watkinsville, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 15, 2008 to Aug 4, 2014 · Watkinsville, Ga
- L•• F•••••••• L•• to S•••••••• B••••••••• L••left Oct 1, 2020, registered Sep 18, 2020 (-13 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 4, 2014, registered Jul 30, 2014 (-5 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address