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••••• P•••••• F••••
- A•••••••• F•••• M••••••••• L•• asset manager currentsince Mar 9, 2023 · Charlotte, Nc
- M••••• S•••••• wirehouseOct 12, 2022 to Mar 9, 2023 · Charlotte, Nc
- A•••••••• F•••• M••••••••• L•• asset managerJul 24, 2019 to Sep 30, 2022 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseFeb 9, 2018 to Jul 24, 2019 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedMay 19, 2015 to Dec 22, 2017 · Maplewood, Mo
- S••••• C•••••• M••••••••• L•• independent RIAFeb 11, 2015 to May 26, 2015 · St. Louis, Mo
- M••••• S•••••• to A•••••••• F•••• M••••••••• L••left Mar 9, 2023, registered Mar 9, 2023 (0 days) · Other
- A•••••••• F•••• M••••••••• L•• to M••••• S••••••left Sep 30, 2022, registered Oct 12, 2022 (12 days) · Other
- W•••• F•••• A••••••• to A•••••••• F•••• M••••••••• L••left Jul 24, 2019, registered Jul 24, 2019 (0 days) · Other
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Dec 22, 2017, registered Feb 9, 2018 (49 days) · RIA to wirehouse
- S••••• C•••••• M••••••••• L•• to L•• F•••••••• L••left May 26, 2015, registered May 19, 2015 (-7 days) · Other
- T••••• P•••••• F•••• left M••••• S•••••• for A•••••••• F•••• M••••••••• L•• (registered 2023-03-09)Mar 9, 2023 · Advisor changed firm · fact
- T••••• P•••••• F•••• left A•••••••• F•••• M••••••••• L•• for M••••• S•••••• (registered 2022-10-12)Sep 30, 2022 · 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address