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.
E••• S•••• R••••••
- P•••• L••• C••••••• L•• former currentsince Jul 12, 2021 · Atlanta, Ga
- L•• F•••••••• L•• BD affiliatedAug 30, 2017 to Aug 13, 2021 · Atlanta, Ga
- E••••• J•••• national BDMar 3, 2014 to Aug 22, 2017 · Marietta, Ga
- L•• F•••••••• L•• to P•••• L••• C••••••• L••left Aug 13, 2021, registered Jul 12, 2021 (-32 days) · Affiliated broker-dealer or bank to a newly registered adviser
- E••••• J•••• to L•• F•••••••• L••left Aug 22, 2017, registered Aug 30, 2017 (8 days) · Other · 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
- Former SEC-registered adviserderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address