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.
T•••••• S•••• J••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Dec 20, 2019 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJul 14, 2014 to Jan 9, 2020 · Charlotte, Nc
- D••••••• B••• S••••••••• I••• no RAUMApr 17, 2014 to Jul 25, 2014 · Winston-Salem, Nc
- L••••• F••••••••• I••• BD affiliatedJan 29, 2014 to Apr 2, 2014 · Birmingham, Al
- T•• F•••••••• G••••• L•• unclassifiedApr 13, 2011 to Feb 7, 2012 · Charlotte, Nc
- R•• C•••••• M••••••• L•• national BDAug 5, 2004 to Dec 17, 2010 · Altamonte Springs, Fl
- M••••• S•••••• D• I••• unclassifiedMay 12, 2003 to Aug 3, 2004 · Charlotte, Nc
- A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 3, 2003 to Apr 28, 2003 · Birmingham, Al
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Jan 9, 2020, registered Dec 20, 2019 (-20 days) · Wirehouse to affiliated broker-dealer or bank
- D••••••• B••• S••••••••• I••• to W•••• F•••• A•••••••left Jul 25, 2014, registered Jul 14, 2014 (-11 days) · Other
- L••••• F••••••••• I••• to D••••••• B••• S••••••••• I•••left Apr 2, 2014, registered Apr 17, 2014 (15 days) · Other
- T•• F•••••••• G••••• L•• to L••••• F••••••••• I•••left Feb 7, 2012, registered Jan 29, 2014 (722 days) · Other
- R•• C•••••• M••••••• L•• to T•• F•••••••• G••••• L••left Dec 17, 2010, registered Apr 13, 2011 (117 days) · Other
- M••••• S•••••• D• I••• to R•• C•••••• M••••••• L••left Aug 3, 2004, registered Aug 5, 2004 (2 days) · Other
- A•••••• I••••••••• S•••••••• I••• to M••••• S•••••• D• I•••left Apr 28, 2003, registered May 12, 2003 (14 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address