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••••••• L••• O•••••
- S•••• W••••• M••••••••• L•• BD affiliated currentsince Jan 1, 2025 · Mclean, Va
- M••••• S•••••• wirehouseOct 31, 2019 to Jan 28, 2022 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 16, 2014 to Aug 30, 2019 · Augusta, Ga
- M••••• S•••••• to S•••• W••••• M••••••••• L••left Jan 28, 2022, registered Jan 1, 2025 (1069 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Aug 30, 2019, registered Oct 31, 2019 (62 days) · Wirehouse to wirehouse
- A••••••• L••• O••••• left M••••• S•••••• for S•••• W••••• M••••••••• L•• (registered 2025-01-01)Jan 28, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address