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.
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · Alpharetta, Ga
- E•••••• C•••••• M••••••••• L•• formerApr 10, 2018 to Sep 5, 2023 · Alpharetta, Ga
- F•• S••••••••• C••••••••• formerAug 28, 2017 to Feb 6, 2018 · Atlanta, Ga
- C••••• A••••••• L•• formerApr 1, 2015 to Sep 10, 2015 · Covington, Ga
- N••••••• L•• formerMay 1, 2013 to Sep 27, 2013 · Atlanta, Ga
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to E•••••• C•••••• M••••••••• L••left Feb 6, 2018, registered Apr 10, 2018 (63 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• A••••••• L•• to F•• S••••••••• C•••••••••left Sep 10, 2015, registered Aug 28, 2017 (718 days) · Other
- N••••••• L•• to C••••• A••••••• L••left Sep 27, 2013, registered Apr 1, 2015 (551 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