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.
R•••••• L••••• H••••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Apr 22, 2022 · Warner Robins, Ga
- K••••• A•••••••• I••• BD affiliatedOct 21, 2020 to Mar 25, 2022 · Warner Robins, Ga
- I••••••••• F•••••••• G••••• L•• BD affiliatedMar 5, 2019 to Sep 30, 2020 · Warner Robins, Ga
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 22, 2018 to Mar 6, 2019 · Warner Robins, Ga
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 15, 2005 to Aug 19, 2009 · Warner Robins, Ga
- O•••• F•• I••• formerMar 14, 2003 to Dec 6, 2004 · Warner Robins, Ga
- K••••• A•••••••• I••• to I•••••••• A•••••••• L••left Mar 25, 2022, registered Apr 22, 2022 (28 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• F•••••••• G••••• L•• to K••••• A•••••••• I•••left Sep 30, 2020, registered Oct 21, 2020 (21 days) · RIA to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to I••••••••• F•••••••• G••••• L••left Mar 6, 2019, registered Mar 5, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 19, 2009, registered Jan 22, 2018 (3078 days) · Other
- O•••• F•• I••• to V••• F•••••••• A•••••••• I•••left Dec 6, 2004, registered Feb 15, 2005 (71 days) · Other
- R•••••• L••••• H•••••• left K••••• A•••••••• I••• for I•••••••• A•••••••• L•• (registered 2022-04-22)Mar 25, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address