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.
D•••••• T•••••••••
- F••••• C•••••• independent RIA currentsince Jun 4, 2023 · Charlotte, Nc
- B•• W••••• M••••••••• L•• formerFeb 21, 2020 to Jun 15, 2023 · Concord, Nc
- F••••• C•••••• formerMay 7, 2012 to Jun 30, 2020 · Concord, Nc
- B•• W••••• M••••••••• L•• to F••••• C••••••left Jun 15, 2023, registered Jun 4, 2023 (-11 days) · RIA to a newly registered adviser
- F••••• C•••••• to B•• W••••• M••••••••• L••left Jun 30, 2020, registered Feb 21, 2020 (-130 days) · RIA to a newly registered adviser
- D•••••• T••••••••• left B•• W••••• M••••••••• L•• for F••••• C•••••• (registered 2023-06-04)Jun 15, 2023 · Advisor changed firm · fact
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address