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.
K•••• J•••• M•••••
- T•• S•••••••• F•••••••• A••••••• BD affiliated currentsince Mar 10, 2014 · Alpharetta, Ga
- U•• F•••••••• S••••••• I••• wirehouseJul 22, 2011 to Mar 10, 2014 · Alpharetta, Ga
- W•••• F•••• A••••••• wirehouseOct 29, 2008 to Jul 19, 2011 · Alpharetta, Ga
- U•• F•••••••• S••••••• I••• to T•• S•••••••• F•••••••• A•••••••left Mar 10, 2014, registered Mar 10, 2014 (0 days) · Other
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jul 19, 2011, registered Jul 22, 2011 (3 days) · Wirehouse to wirehouse
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