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••••• L••• R•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Charlotte, Nc
- S••••• F•••••••• G•••• I•• formerOct 10, 2018 to May 20, 2021 · Charlotte, Nc
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerAug 28, 2013 to Nov 13, 2015 · Charlotte,, Nc
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to S••••• F•••••••• G•••• I••left Nov 13, 2015, registered Oct 10, 2018 (1062 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