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.
A••••• R••••• P••••
- F••••••••• I••••••••• A••••••• L•• independent RIA currentsince Apr 28, 2023 · Greenville, Sc
- E••••••• W••••• M••••••••• independent RIANov 2, 2021 to Apr 14, 2023 · Englewood, Co
- S••••••• F•••••••• S•••••••• I••• formerAug 27, 2020 to Oct 13, 2021 · Colorado Springs, Co
- P••••••• C•••••• A••••••• C••••••••• formerMar 20, 2019 to Aug 20, 2020 · Atlanta, Ga
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Mar 29, 2019 · Woodstock, Ga
- I••••• F•••••••• C••••••••• formerJun 28, 2012 to Feb 20, 2018 · Marietta, Ga
- E••••••• W••••• M••••••••• to F••••••••• I••••••••• A••••••• L••left Apr 14, 2023, registered Apr 28, 2023 (14 days) · RIA to RIA
- S••••••• F•••••••• S•••••••• I••• to E••••••• W••••• M•••••••••left Oct 13, 2021, registered Nov 2, 2021 (20 days) · Affiliated broker-dealer or bank to independent RIA
- P••••••• C•••••• A••••••• C••••••••• to S••••••• F•••••••• S•••••••• I•••left Aug 20, 2020, registered Aug 27, 2020 (7 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to P••••••• C•••••• A••••••• C•••••••••left Mar 29, 2019, registered Mar 20, 2019 (-9 days) · RIA to RIA
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move
- A••••• R••••• P•••• left E••••••• W••••• M••••••••• for F••••••••• I••••••••• A••••••• L•• (registered 2023-04-28)Apr 14, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address