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.
A••••• J••••• M•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 9, 2015 · Marietta, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDMar 8, 2012 to Dec 9, 2015 · Atlanta, Ga
- W•••••••• F•••••••• G••••• I••• formerMay 12, 2009 to Jun 29, 2010 · W••••••••, Ga
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 9, 2015, registered Dec 9, 2015 (0 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••••• F•••••••• G••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jun 29, 2010, registered Mar 8, 2012 (618 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address