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.
R••••• D••••• S•••
- W•••• F•••• A••••••• wirehouse currentsince Aug 12, 2015 · Columbia, Sc
- S••••••• I••••••••• S•••••••• I••• formerJun 7, 2011 to Oct 3, 2014 · Atlanta, Ga
- C•••• I••••••••• S••••••• C•••• formerMar 18, 2010 to Aug 27, 2010 · Atlanta, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDMay 8, 2007 to Apr 30, 2009 · Atlanta, Ga
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Oct 3, 2014, registered Aug 12, 2015 (313 days) · Other
- C•••• I••••••••• S••••••• C•••• to S••••••• I••••••••• S•••••••• I•••left Aug 27, 2010, registered Jun 7, 2011 (284 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Apr 30, 2009, registered Mar 18, 2010 (322 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address