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.
E•••• J•••• C••••
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Nov 15, 2019 · Belmont, Nc
- C••••••••• A••••••• S•••••••• L•• unclassifiedNov 5, 2010 to Dec 18, 2019 · Belmont, Nc
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Nov 5, 2010 · Gastonia, Nc
- C•••••••• I••••••••• R•••••••• I••• unclassifiedDec 31, 2001 to Mar 28, 2005 · Gastonia, Nc
- C••••••••• A••••••• S•••••••• L•• to I••••••••• A•••••• A•••••••• L••left Dec 18, 2019, registered Nov 15, 2019 (-33 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• A••••••• S•••••••• L••left Nov 5, 2010, registered Nov 5, 2010 (0 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (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
- I••••••••• WEALTHderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address