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••• M•••• Q••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince May 4, 2020 · Plymouth, Mn
- J••• A•••••••• I••• formerMar 27, 2018 to Apr 30, 2020 · Atlanta, Ga
- S••••••• F•••••••• S•••••••• I••• formerMar 21, 2018 to Jun 11, 2018 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseAug 19, 2015 to Mar 15, 2018 · Charlotte, Nc
- J••• A•••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••left Apr 30, 2020, registered May 4, 2020 (4 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S••••••• F•••••••• S•••••••• I••• to J••• A•••••••• I•••left Jun 11, 2018, registered Mar 27, 2018 (-76 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Mar 15, 2018, registered Mar 21, 2018 (6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address