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.
W••••• K•••••• P•••
- A•••• P••••••••• A•••••••• L•• independent RIA currentsince Jul 31, 2019 · Atlanta, Ga
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 20, 2016 to Mar 12, 2019 · Atlanta, Ga
- S••••••• I••••••••• S•••••••• I••• formerApr 24, 2014 to Dec 31, 2016 · Atlanta, Ga
- R•••••• J•••• • A••••••••• I••• national BDOct 4, 2012 to Apr 17, 2014 · Atlanta, Ga
- M••••• K••••• • C••••••• L•• formerOct 7, 2009 to Mar 14, 2013 · Atlanta, Ga
- T••••• A••••••• S•••••••• I••• to A•••• P••••••••• A•••••••• L••left Mar 12, 2019, registered Jul 31, 2019 (141 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 20, 2016 (-102 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Apr 17, 2014, registered Apr 24, 2014 (7 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 14, 2013, registered Oct 4, 2012 (-161 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address