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•••••• W•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 16, 2017 · Montgomery, Al
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedSep 3, 2013 to Mar 20, 2017 · Montgomery, Al
- E•• F•••••••• A••••••• independent RIAApr 24, 2012 to Aug 26, 2013 · Sandy Springs, Ga
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Dec 16, 2011 · Raleigh, Nc
- V••• F•••••••• P•••••••• L•• formerDec 22, 2009 to Jan 3, 2011 · Raleigh, Nc
- E•• F•••••••• A••••••• independent RIAMay 14, 2009 to Dec 7, 2009 · Sandy Springs, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 28, 2007 to Feb 13, 2009 · Columbus, Ga
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 20, 2017, registered Mar 16, 2017 (-4 days) · Other
- E•• F•••••••• A••••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Aug 26, 2013, registered Sep 3, 2013 (8 days) · Other
- V••• F•••••••• A•••••••• I••• to E•• F•••••••• A•••••••left Dec 16, 2011, registered Apr 24, 2012 (130 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- E•• F•••••••• A••••••• to V••• F•••••••• P•••••••• L••left Dec 7, 2009, registered Dec 22, 2009 (15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•• F•••••••• A•••••••left Feb 13, 2009, registered May 14, 2009 (90 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address