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••••• D••• G••••••••
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · Alpharetta, Ga
- E•••••• C•••••• M••••••••• L•• formerOct 11, 2016 to Sep 5, 2023 · Alpharetta, Ga
- S••••••• I••••••••• I••• formerFeb 14, 2014 to Jul 28, 2016 · Nashville, Tn
- O••••••••• S••••••••• I••• BD affiliatedMar 19, 2013 to Dec 12, 2013 · Peachtree Corners, Ga
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to E•••••• C•••••• M••••••••• L••left Jul 28, 2016, registered Oct 11, 2016 (75 days) · Other
- O••••••••• S••••••••• I••• to S••••••• I••••••••• I•••left Dec 12, 2013, registered Feb 14, 2014 (64 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address