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.
G••••• T••••• R••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 10, 2020 · Birmingham , Al
- P••• A••••• S••••••••• L•• BD affiliatedSep 23, 2019 to Dec 3, 2020 · Atlanta, Ga
- E•• F•••••••• A••••••• independent RIAFeb 5, 2019 to Jul 18, 2019 · Sandy Springs, Ga
- P••• A••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 3, 2020, registered Dec 10, 2020 (7 days) · Affiliated broker-dealer or bank to another
- E•• F•••••••• A••••••• to P••• A••••• S••••••••• L••left Jul 18, 2019, registered Sep 23, 2019 (67 days) · Affiliated broker-dealer or bank to another
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address