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.
H••••• R••••• V••••••
- A••••••••• A•••• M••••••••• L•• state registered currentsince Oct 22, 2021 · Clayton, Ga
- A••••••• A••••••• S••••••• formerMar 31, 2021 to Nov 8, 2021 · Clayton, Ga
- O••••••••• • C•• I••• BD affiliatedApr 20, 2017 to Feb 26, 2021 · Richmond, Va
- B••• I••••••••• S•••••••• I••• formerMar 27, 2014 to Apr 19, 2017 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedFeb 3, 2014 to Mar 14, 2014 · Durham, Nc
- B••• I••••••••• S•••••••• I••• formerApr 16, 2012 to Feb 3, 2014 · Charlotte, Nc
- W••••••• F•••••••• S•••••••• I••• formerSep 11, 2007 to Apr 17, 2012 · Taylorsville, Nc
- A• G• E•••••• • S•••• I••• unclassifiedMar 13, 2006 to Sep 19, 2007 · Hickory, Nc
- A••••••• A••••••• S••••••• to A••••••••• A•••• M••••••••• L••left Nov 8, 2021, registered Oct 22, 2021 (-17 days) · Affiliated broker-dealer or bank to a state-registered adviser
- O••••••••• • C•• I••• to A••••••• A••••••• S•••••••left Feb 26, 2021, registered Mar 31, 2021 (33 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to O••••••••• • C•• I•••left Apr 19, 2017, registered Apr 20, 2017 (1 days) · Other
- P•• W••••• M••••••••• to B••• I••••••••• S•••••••• I•••left Mar 14, 2014, registered Mar 27, 2014 (13 days) · Other
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Feb 3, 2014, registered Feb 3, 2014 (0 days) · Other
- W••••••• F•••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Apr 17, 2012, registered Apr 16, 2012 (-1 days) · Other
- A• G• E•••••• • S•••• I••• to W••••••• F•••••••• S•••••••• I•••left Sep 19, 2007, registered Sep 11, 2007 (-8 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address