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.
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- J••• M••••• S••••••••• L•• wirehouse currentsince May 24, 2021 · Atlanta, Ga
- W•• B•••••••• S•••••••• I••• BD affiliatedMar 1, 2019 to May 17, 2021 · Peachtree Corner, Ga
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 22, 2019 · Orlando, Fl
- C•••• I••••••••• S••••••• C•••• formerFeb 15, 2012 to Oct 1, 2012 · Oviedo, Fl
- W•• B•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left May 17, 2021, registered May 24, 2021 (7 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to W•• B•••••••• S•••••••• I•••left Feb 22, 2019, registered Mar 1, 2019 (7 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address