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•••• A•••• L•••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Aug 29, 2022 · Atlanta, Ga
- C••••• A••••••• L•• formerDec 21, 2021 to Aug 10, 2022 · Rome, Ga
- W•••• F•••• A••••••• wirehouseDec 23, 2015 to Nov 24, 2021 · Marietta, Ga
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 26, 2014 to Nov 20, 2015 · Atlanta, Ga
- C••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Aug 10, 2022, registered Aug 29, 2022 (19 days) · Other
- W•••• F•••• A••••••• to C••••• A••••••• L••left Nov 24, 2021, registered Dec 21, 2021 (27 days) · Wirehouse to affiliated broker-dealer or bank
- N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••left Nov 20, 2015, registered Dec 23, 2015 (33 days) · Other
- D•••• A•••• L••••• left C••••• A••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2022-08-29)Aug 10, 2022 · 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
- No RAUM reportedderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address