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.
T••••• C•••• A••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 1, 2024 · Florham Park, Nj
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Feb 2, 2024 · Atlanta, Ga
- B••• S••••••••• L•• formerMay 9, 2017 to Feb 17, 2021 · Richmond, Va
- T••••• A••••••• S•••••••• I••• to R••••••••• C•••••• M•••••••••left Feb 2, 2024, registered Feb 1, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- T••••• C•••• A•••• left T••••• A••••••• S•••••••• I••• for R••••••••• C•••••• M••••••••• (registered 2024-02-01)Feb 2, 2024 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address