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••••• J•••• national BD currentsince Jun 20, 2024 · Atlanta, Ga
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 30, 2023 to Jun 17, 2024 · Minneapolis, Mn
- M••••• S•••••• wirehouseMar 6, 2023 to Sep 25, 2023 · Alpharetta, Ga
- T••••••• I••••••••• M••••••••• I••• to E••••• J••••left Jun 17, 2024, registered Jun 20, 2024 (3 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to T••••••• I••••••••• M••••••••• I•••left Sep 25, 2023, registered Oct 30, 2023 (35 days) · Wirehouse to affiliated broker-dealer or bank
- K•••••• W••• left T••••••• I••••••••• M••••••••• I••• for E••••• J•••• (registered 2024-06-20)Jun 17, 2024 · Advisor changed firm · fact
- K•••••• W••• left M••••• S•••••• for T••••••• I••••••••• M••••••••• I••• (registered 2023-10-30)Sep 25, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address