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.
R•••••• B•••••• M••••
- M••••• G••••• A••••••• I••• independent RIA currentsince Dec 23, 2020 · Atlanta, Ga
- K••• F•••••••• A••••••• C••• formerJan 24, 2019 to Jan 4, 2021 · Atlanta, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 29, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 7, 2013 to Jul 13, 2018 · Irvine, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedJul 5, 2011 to Nov 29, 2012 · Irvine, Ca
- K••• F•••••••• A••••••• C••• to M••••• G••••• A••••••• I•••left Jan 4, 2021, registered Dec 23, 2020 (-12 days) · RIA to RIA · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to K••• F•••••••• A••••••• C•••left Jan 29, 2019, registered Jan 24, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- G•••••• S•••• W••••• S•••••••• L••• to S•••••••• A••••••• L••left Nov 29, 2012, registered Aug 7, 2013 (251 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address