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••• D•••• E••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 1, 2012 · Mount Pleasant, Sc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 10, 2008 to Oct 23, 2009 · Tucker, Ga
- W•••• F•••• A••••••• wirehouseAug 20, 2008 to Dec 11, 2008 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 13, 2008 to Jun 12, 2008 · Atlanta, Ga
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Nov 1, 2012 (1105 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 11, 2008, registered Dec 10, 2008 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jun 12, 2008, registered Aug 20, 2008 (69 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