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.
Z••• E••• S••••
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Oct 5, 2021 · Chicago, Il
- B••••• C•••••• A•••••••• L•• formerAug 30, 2021 to Oct 19, 2021 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseJun 5, 2021 to Jun 24, 2021 · Atlanta, Ga
- R••••••••• C•••••• M••••••••• BD affiliatedJan 30, 2020 to Mar 16, 2021 · Atlanta, Ga
- M••••• S•••••• wirehouseJun 20, 2018 to Jan 14, 2020 · Atlanta, Ga
- M••••• S•••••• wirehouseApr 29, 2013 to Nov 6, 2017 · Atlanta, Ga
- B••••• C•••••• A•••••••• L•• to C•••••• A•••• M••••••••• L••left Oct 19, 2021, registered Oct 5, 2021 (-14 days) · RIA to RIA · moved with a team
- W•••• F•••• A••••••• to B••••• C•••••• A•••••••• L••left Jun 24, 2021, registered Aug 30, 2021 (67 days) · Wirehouse to independent RIA
- R••••••••• C•••••• M••••••••• to W•••• F•••• A•••••••left Mar 16, 2021, registered Jun 5, 2021 (81 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R••••••••• C•••••• M•••••••••left Jan 14, 2020, registered Jan 30, 2020 (16 days) · Wirehouse to independent RIA · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address