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•••• T••••• C•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 9, 2021 · Columbiana, Al
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 23, 2019 to Jun 8, 2021 · Atlanta, Ga
- E•••••• C•••••• M••••••••• L•• formerJun 19, 2018 to Sep 16, 2019 · Alpharetta, Ga
- E••••• J•••• national BDAug 26, 2016 to Jun 5, 2018 · Brookhaven, Ga
- M•• I•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 8, 2021, registered Aug 9, 2021 (62 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 16, 2019, registered Oct 23, 2019 (37 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to E•••••• C•••••• M••••••••• L••left Jun 5, 2018, registered Jun 19, 2018 (14 days) · Affiliated broker-dealer or bank to independent 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address