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••••• S•••••• wirehouse currentsince Jan 13, 2021 · Cornelius, Nc
- U•• F•••••••• S••••••• I••• wirehouseMay 5, 2016 to Jan 20, 2021 · Huntersville, Nc
- M••••• S•••••• wirehouseApr 28, 2011 to May 10, 2016 · Charlotte, Nc
- H• B•••• I••• formerOct 6, 2010 to Apr 11, 2011 · Huntington, Wv
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Mar 4, 2009 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedNov 16, 2006 to Apr 2, 2007 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jan 20, 2021, registered Jan 13, 2021 (-7 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left May 10, 2016, registered May 5, 2016 (-5 days) · Wirehouse to wirehouse
- H• B•••• I••• to M••••• S••••••left Apr 11, 2011, registered Apr 28, 2011 (17 days) · Other
- M••••• S•••••• • C•• L•• to H• B•••• I•••left Mar 4, 2009, registered Oct 6, 2010 (581 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address