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•••••• L••••••• R•••••••
- C••• S••••• P••••••• BD affiliated currentsince Mar 11, 2020 · Charlotte, Nc
- M••••• S•••••• wirehouseJan 19, 2017 to Sep 27, 2018 · Charlotte, Nc
- R•••••• J•••• • A••••••••• I••• national BDMay 21, 2015 to Sep 20, 2016 · Charlotte, Nc
- C••••••••• P•••••••• R••••• C••• independent RIAMar 5, 2014 to Dec 31, 2016 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJul 25, 2012 to Oct 15, 2013 · Stamford, Ct
- C••••• S••••• S••••••••• •••• L•• formerApr 17, 2009 to Oct 7, 2011 · Greenwich, Ct
- M••••• S•••••• • C•• L•• unclassifiedJan 12, 2009 to May 11, 2009 · New York, Ny
- M••••• S•••••• to C••• S••••• P•••••••left Sep 27, 2018, registered Mar 11, 2020 (531 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• P•••••••• R••••• C••• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2016, registered May 21, 2015 (-590 days) · Other
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Sep 20, 2016, registered Jan 19, 2017 (121 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to C••••••••• P•••••••• R••••• C•••left Oct 15, 2013, registered Mar 5, 2014 (141 days) · Other
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Oct 7, 2011, registered Jul 25, 2012 (292 days) · Other
- M••••• S•••••• • C•• L•• to C••••• S••••• S••••••••• •••• L••left May 11, 2009, registered Apr 17, 2009 (-24 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address