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.
F•••• S•••••• S••••••
- S••••• A••••••• I••• BD affiliated currentsince Aug 5, 2017 · Birmingham, Al
- C•••••• G••••••• W••••• M••••••••• L•• formerApr 6, 2010 to Dec 31, 2017 · Alemarle, Nc
- G•••••••• F••••••••• I•• unclassifiedAug 15, 2008 to Mar 29, 2010 · Charlotte, Nc
- E••••• J•••• national BDOct 3, 2006 to Jul 31, 2008 · New London, Nc
- C•••••• G••••••• W••••• M••••••••• L•• to S••••• A••••••• I•••left Dec 31, 2017, registered Aug 5, 2017 (-148 days) · Other
- G•••••••• F••••••••• I•• to C•••••• G••••••• W••••• M••••••••• L••left Mar 29, 2010, registered Apr 6, 2010 (8 days) · Other
- E••••• J•••• to G•••••••• F••••••••• I••left Jul 31, 2008, registered Aug 15, 2008 (15 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address