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.
- M••••• S•••••• wirehouse currentsince Aug 5, 2019 · Atlanta, Ga
- E•••••••• A•••••••• L•• national BDJun 4, 2014 to Jun 10, 2019 · Atlanta, Ga
- C••• I••••••••• A•••••••• I••• independent RIANov 9, 2012 to Feb 21, 2014 · Mcdonough, Ga
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerMay 24, 2012 to Oct 3, 2012 · Atlanta, Ga
- E•••••••• A•••••••• L•• to M••••• S••••••left Jun 10, 2019, registered Aug 5, 2019 (56 days) · Affiliated broker-dealer or bank to wirehouse
- C••• I••••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Feb 21, 2014, registered Jun 4, 2014 (103 days) · Other
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••• I••••••••• A•••••••• I•••left Oct 3, 2012, registered Nov 9, 2012 (37 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address