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.
P•••••• E••• F••••••••• R•••
- W•••• F•••• A••••••• wirehouse currentsince Dec 20, 2012 · Roswell, Ga
- R••••• B••• • C••• L•• formerMay 6, 2011 to Jul 19, 2012 · Atlanta, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDJul 1, 2008 to Aug 28, 2008 · Atlanta, Ga
- R••••• B••• • C••• L•• to W•••• F•••• A•••••••left Jul 19, 2012, registered Dec 20, 2012 (154 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to R••••• B••• • C••• L••left Aug 28, 2008, registered May 6, 2011 (981 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