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.
T•••• S••••• B••••
- B•••• W••••• G•••• L•• state registered currentsince Jan 28, 2022 · Lagrange, Ga
- M•••••• BD affiliatedApr 2, 2019 to Jan 21, 2022 · Houston, Tx
- W••••• J•••••• W••••• independent RIAOct 19, 2017 to Mar 7, 2019 · Houston, Tx
- S• F•••••••• A•••••••• L•• formerMay 2, 2017 to Oct 16, 2017 · Sandy Springs, Ga
- M•••••• to B•••• W••••• G•••• L••left Jan 21, 2022, registered Jan 28, 2022 (7 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W••••• J•••••• W••••• to M••••••left Mar 7, 2019, registered Apr 2, 2019 (26 days) · RIA to affiliated broker-dealer or bank
- S• F•••••••• A•••••••• L•• to W••••• J•••••• W•••••left Oct 16, 2017, registered Oct 19, 2017 (3 days) · Other
- T•••• S••••• B•••• left Mariner for B•••• W••••• G•••• L•• (registered 2022-01-28)Jan 21, 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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address