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.
P••• S•••• T•••••
- A•••••••• C•••••• M••••••••• independent RIA currentsince Aug 4, 2021 · Mooresville, Nc
- A••••••• A••••• L•• independent RIAJun 12, 2019 to Jul 8, 2021 · Mooresville, Nc
- B••••••••• A•••• M••••••••• L•• asset managerSep 12, 2014 to Jun 6, 2019 · Huntersville, Nc
- B••••••••• W••••• A•••••••• L•• no RAUMSep 11, 2014 to Jun 6, 2019 · Huntersville, Nc
- C•••••• I••••••••• A•••••••• I•• unclassifiedAug 18, 2011 to Sep 13, 2016 · Huntersville, Nc
- A•••• C••••••• L•• formerJan 28, 2009 to Aug 19, 2011 · Mount Pleasant, Sc
- A•••• C••••••• L•• formerNov 8, 2006 to Dec 31, 2008 · Huntersville, Nc
- A••••••• A••••• L•• to A•••••••• C•••••• M•••••••••left Jul 8, 2021, registered Aug 4, 2021 (27 days) · RIA to RIA
- B••••••••• W••••• A•••••••• L•• to B••••••••• A•••• M••••••••• L••left Jun 6, 2019, registered Sep 12, 2014 (-1728 days) · Other
- B••••••••• A•••• M••••••••• L•• to A••••••• A••••• L••left Jun 6, 2019, registered Jun 12, 2019 (6 days) · RIA to RIA
- C•••••• I••••••••• A•••••••• I•• to B••••••••• W••••• A•••••••• L••left Sep 13, 2016, registered Sep 11, 2014 (-733 days) · Other
- A•••• C••••••• L•• to C•••••• I••••••••• A•••••••• I••left Aug 19, 2011, registered Aug 18, 2011 (-1 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address