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.
K• H• S•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 23, 2019 · Duluth, Ga
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Dec 12, 2017 · Duluth, Ga
- M•• F•••••••• S•••••••• I••• formerDec 1, 2016 to Mar 25, 2017 · Atlanta, Ga
- W•••••• • R••• formerMay 2, 2014 to Jun 23, 2015 · Atlanta, Ga
- N•• E•••••• S••••••••• C••••••••• formerJun 10, 2013 to May 9, 2014 · Norcross, Ga
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 12, 2017, registered May 23, 2019 (527 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to M•• F•••••••• S•••••••• I•••left Jun 23, 2015, registered Dec 1, 2016 (527 days) · Other
- N•• E•••••• S••••••••• C••••••••• to W•••••• • R•••left May 9, 2014, registered May 2, 2014 (-7 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address