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.
D•••• G•••••• I•••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Sep 11, 2023 · Los Angeles, Ca
- S•••••••• A•••••••• L•• BD affiliatedNov 19, 2021 to Sep 13, 2023 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseOct 29, 2014 to Dec 9, 2021 · Weehawken, Nj
- S•••••••• A•••••••• L•• to R••••••••• C•••••• M•••••••••left Sep 13, 2023, registered Sep 11, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S•••••••• A•••••••• L••left Dec 9, 2021, registered Nov 19, 2021 (-20 days) · Wirehouse to affiliated broker-dealer or bank
- D•••• G•••••• I••••• left S•••••••• A•••••••• L•• for R••••••••• C•••••• M••••••••• (registered 2023-09-11)Sep 13, 2023 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address