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.
W•••••• A••••••• L••• I•
- M••••• S•••••• wirehouse currentsince Jul 1, 2014 · Atlanta, Ga
- O••••••••• • C•• I••• BD affiliatedSep 20, 2004 to Jul 1, 2014 · Atlanta, Ga
- O••••••••• A•••• M••••••••• BD affiliatedOct 21, 2003 to Dec 4, 2007 · Atlanta, Ga
- O••••••••• A•••• M••••••••• BD affiliatedApr 23, 2003 to Oct 16, 2003 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to Apr 15, 2003 · Atlanta, Ga
- C••• W•••• M•••••• C•••• unclassifiedAug 27, 1996 to Jan 3, 2003 · Atlanta, Ga
- O••••••••• • C•• I••• to M••••• S••••••left Jul 1, 2014, registered Jul 1, 2014 (0 days) · Other
- O••••••••• A•••• M••••••••• to O••••••••• • C•• I•••left Dec 4, 2007, registered Sep 20, 2004 (-1170 days) · Other
- O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••left Apr 15, 2003, registered Apr 23, 2003 (8 days) · corporate re-registration, not a move
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address