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.
M•••••• L•••• T•••••
- G••••• R••••••••• P••••••• L•• institutional currentsince Sep 3, 2019 · Cornelius, Nc
- P•••••••• S••••••••• I••• BD affiliatedFeb 27, 2018 to Jun 20, 2018 · Charlotte, Nc
- P•••••••• S••••••••• I••• BD affiliatedJan 22, 2015 to Dec 31, 2017 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedApr 18, 2012 to May 1, 2013 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseFeb 29, 2008 to Jul 1, 2010 · Davidson, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 7, 2001 to Mar 13, 2008 · Charlotte, Nc
- P•••••••• S••••••••• I••• to G••••• R••••••••• P••••••• L••left Jun 20, 2018, registered Sep 3, 2019 (440 days) · Other
- A••••• A•• P••••••• S••••••• to P•••••••• S••••••••• I•••left May 1, 2013, registered Jan 22, 2015 (631 days) · Other
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Jul 1, 2010, registered Apr 18, 2012 (657 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Mar 13, 2008, registered Feb 29, 2008 (-13 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
- Institutional managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address