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.
E••••• T•••••• A••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 1, 2014 · Alpharetta, Ga
- C•••••••• F•••••••• G•••• A••••••• formerDec 11, 2012 to Aug 28, 2014 · Peachtree City, Ga
- V•••••• A•••••••• I••• BD affiliatedMar 11, 2011 to Dec 4, 2012 · Peachtree City, Ga
- W•••••• • R••• formerOct 1, 2009 to Jan 31, 2011 · Atlanta, Ga
- C•••••••• F•••••••• G•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 28, 2014, registered Aug 1, 2014 (-27 days) · Other
- V•••••• A•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Dec 4, 2012, registered Dec 11, 2012 (7 days) · Other
- W•••••• • R••• to V•••••• A•••••••• I•••left Jan 31, 2011, registered Mar 11, 2011 (39 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address