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.
J••• A••••• B••••••
- E••••• J•••• national BD currentsince Mar 27, 2017 · Dahlonega, Ga
- M•••••••• F•••••••• P••••••• I••• independent RIADec 3, 2015 to Mar 8, 2017 · Atlanta, Ga
- D•••••• L••• S••••• L•• formerOct 9, 2015 to Dec 6, 2016 · Atlanta, Ga
- M•••••••• F•••••••• P••••••• I••• to E••••• J••••left Mar 8, 2017, registered Mar 27, 2017 (19 days) · Other
- D•••••• L••• S••••• L•• to M•••••••• F•••••••• P••••••• I•••left Dec 6, 2016, registered Dec 3, 2015 (-369 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address