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.
A•••••• T•••••• G••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Charlotte, Nc
- P•••• S••••••••• L•• no RAUMJun 4, 2018 to Nov 14, 2024 · Charlotte, Nc
- O•••• F•• I••• formerApr 6, 2010 to May 23, 2018 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerAug 8, 2005 to Apr 6, 2010 · Charlotte, Nc
- O•••• F•• I••• formerJan 19, 1998 to Nov 3, 2004 · Louisville, Ky
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to P•••• S••••••••• L••left May 23, 2018, registered Jun 4, 2018 (12 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to O•••• F•• I•••left Apr 6, 2010, registered Apr 6, 2010 (0 days) · Other
- O•••• F•• I••• to M•• F•••••••• S•••••••• I•••left Nov 3, 2004, registered Aug 8, 2005 (278 days) · Other
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address