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.
J••••• N••••••• D•• C••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Roswell, Ga
- W•••••• • R••• formerJun 22, 2020 to Jul 21, 2021 · Alpharetta, Ga
- F•••• T•••• S••••••••• I••• BD affiliatedOct 21, 2016 to Apr 3, 2020 · Powder Springs, Ga
- E••••• J•••• national BDOct 8, 2012 to Oct 18, 2016 · Tempe, Az
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to W•••••• • R•••left Apr 3, 2020, registered Jun 22, 2020 (80 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to F•••• T•••• S••••••••• I•••left Oct 18, 2016, registered Oct 21, 2016 (3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address