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.
R•••••• B••••••• L••
- A•••• A••••••••• S••••••••• L•• independent RIA currentsince Aug 11, 2020 · Farmington, Mi
- E•• F•••••••• A••••••• independent RIAJan 2, 2019 to Apr 29, 2020 · Augusta, Ga
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 6, 2014 to Dec 31, 2016 · Alpharetta, Ga
- E•• F•••••••• A••••••• to A•••• A••••••••• S••••••••• L••left Apr 29, 2020, registered Aug 11, 2020 (104 days) · Affiliated broker-dealer or bank to independent RIA
- T••••••••• F•••••••• A•••••••• L•• to E•• F•••••••• A•••••••left Dec 31, 2016, registered Jan 2, 2019 (732 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address