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.
J•••••• A••• C••••••
- C••••••••• W••••• independent RIA currentsince Jan 3, 2018 · Huntersville, Nc
- C••••••••• W••••• formerJul 20, 2011 to Dec 31, 2017 · Huntersville, Nc
- S••••••••• A•••••• A•••••••• I••• formerNov 18, 2003 to Jul 20, 2011 · Cornelius, Nc
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedDec 31, 2001 to Nov 19, 2003 · Huntersville, Nc
- C••••••••• W••••• to C••••••••• W•••••left Dec 31, 2017, registered Jan 3, 2018 (3 days) · channel change inside one enterprise, not a move · moved with a team
- S••••••••• A•••••• A•••••••• I••• to C••••••••• W•••••left Jul 20, 2011, registered Jul 20, 2011 (0 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Nov 19, 2003, registered Nov 18, 2003 (-1 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address