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.
- E••••• J•••• national BD currentsince Feb 18, 2019 · Albany, Ga
- C••• L•• BD affiliatedJan 26, 2015 to Mar 8, 2017 · Albany, Ga
- B••• W••••• A•••••••• I••• independent RIAMar 25, 2014 to Oct 2, 2015 · Albany, Ga
- L•• F•••••••• L•• BD affiliatedFeb 28, 2014 to Sep 23, 2014 · Albany, Ga
- C••• L•• to E••••• J••••left Mar 8, 2017, registered Feb 18, 2019 (712 days) · Other
- B••• W••••• A•••••••• I••• to C••• L••left Oct 2, 2015, registered Jan 26, 2015 (-249 days) · Other
- L•• F•••••••• L•• to B••• W••••• A•••••••• I•••left Sep 23, 2014, registered Mar 25, 2014 (-182 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