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••••• M••••••• M•••••••••
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Jan 5, 2017 · Matthews, Nc
- O•••• F•• I••• formerFeb 15, 2012 to Dec 27, 2016 · Matthews, Nc
- I••••••••• F•••••••• S•••••••• I••• independent RIANov 30, 2010 to Feb 16, 2011 · Matthews, Nc
- N•••••• G•••• S••••••••• I••• formerFeb 27, 2008 to Jan 28, 2009 · Lake Mary, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 26, 2004 to Dec 31, 2007 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 11, 2002 to Aug 13, 2003 · Charlotte, Nc
- O•••• F•• I••• to T••••••••• R••••••••• A•••••••• L••left Dec 27, 2016, registered Jan 5, 2017 (9 days) · Other
- I••••••••• F•••••••• S•••••••• I••• to O•••• F•• I•••left Feb 16, 2011, registered Feb 15, 2012 (364 days) · Other
- N•••••• G•••• S••••••••• I••• to I••••••••• F•••••••• S•••••••• I•••left Jan 28, 2009, registered Nov 30, 2010 (671 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to N•••••• G•••• S••••••••• I•••left Dec 31, 2007, registered Feb 27, 2008 (58 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 13, 2003, registered Mar 26, 2004 (226 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address