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.
B•••• A••••• P••••
- P•••• W••••• M••••••••• independent RIA currentsince Jun 24, 2021 · Alpharetta, Ga
- T•• M•••• A•••••• G••••• L•• formerJul 30, 2020 to Aug 26, 2021 · Columbus, Ga
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 31, 2018 to Jul 7, 2020 · Johns Creek, Ga
- S•••••••• A••••••• L•• national BDOct 18, 2010 to May 24, 2018 · Alpharetta, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 6, 2009 to Aug 23, 2010 · Rosewall, Ga
- T• A••••••••• I••• formerApr 6, 2009 to Aug 23, 2010 · Alpharetta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 7, 2008 to Dec 1, 2008 · Atlanta, Ga
- T•• M•••• A•••••• G••••• L•• to P•••• W••••• M•••••••••left Aug 26, 2021, registered Jun 24, 2021 (-63 days) · RIA to RIA
- K••••• A••••••• S•••••••• L•• to T•• M•••• A•••••• G••••• L••left Jul 7, 2020, registered Jul 30, 2020 (23 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to K••••• A••••••• S•••••••• L••left May 24, 2018, registered May 31, 2018 (7 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 23, 2010, registered Apr 6, 2009 (-504 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 23, 2010, registered Apr 6, 2009 (-504 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Dec 1, 2008, registered Apr 6, 2009 (126 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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