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••••• B•••• W•••
- S•••••••• E••••• P•••••••• L••• independent RIA currentsince Dec 21, 2016 · Asheville, Nc
- S•••••••• E••••• P•••••••• L••• independent RIASep 17, 2014 to Dec 2, 2016 · Asheville, Nc
- F•• S••••••••• C••••••••• formerNov 11, 2009 to Dec 31, 2016 · Asheville, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Oct 1, 2009 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 12, 2001 to Jan 2, 2009 · Asheville, Nc
- F•• S••••••••• C••••••••• to S•••••••• E••••• P•••••••• L•••left Dec 31, 2016, registered Sep 17, 2014 (-836 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to F•• S••••••••• C•••••••••left Oct 1, 2009, registered Nov 11, 2009 (41 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address