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•••••••• C•••••• B•••••••
- M•••• F•••••••• A••••••• BD affiliated currentsince Dec 17, 2024 · Alpharetta, Ga
- M••••• S•••••• wirehouseSep 5, 2023 to Dec 20, 2024 · Alpharetta, Ga
- E•••••• C•••••• M••••••••• L•• formerJul 26, 2010 to Sep 5, 2023 · Arlington, Va
- E••••• J•••• national BDNov 10, 2008 to Apr 20, 2009 · Roswell, Ga
- M••••• S•••••• to M•••• F•••••••• A•••••••left Dec 20, 2024, registered Dec 17, 2024 (-3 days) · Wirehouse to independent RIA
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- E••••• J•••• to E•••••• C•••••• M••••••••• L••left Apr 20, 2009, registered Jul 26, 2010 (462 days) · Other
- A•••••••• C•••••• B••••••• left M••••• S•••••• for M•••• F•••••••• A••••••• (registered 2024-12-17)Dec 20, 2024 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address