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•••••• S• F•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 23, 2020 · Atlanta, Ga
- S•• B••• A•••••••• I••• independent RIANov 6, 2019 to Oct 15, 2020 · Marietta, Ga
- I••••••• C•••••• I•••••••• formerJan 9, 2019 to Sep 13, 2019 · Atlanta, Ga
- I••••••• C•••••• I•••••••• formerMar 20, 2018 to Dec 31, 2018 · Atlanta, Ga
- S• A•••••••• L•• independent RIASep 21, 2015 to Oct 16, 2020 · Atlanta, Ga
- S• A•••••••• L•• to I••••••• C•••••• I••••••••left Oct 16, 2020, registered Mar 20, 2018 (-941 days) · Other
- S•• B••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 15, 2020, registered Oct 23, 2020 (8 days) · RIA to affiliated broker-dealer or bank
- I••••••• C•••••• I•••••••• to S•• B••• A•••••••• I•••left Sep 13, 2019, registered Nov 6, 2019 (54 days) · RIA to RIA
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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address