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.
R••••• A•••• H•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 18, 2021 · Charlotte, Nc
- M••••••• L•• unclassifiedJul 15, 2021 to Oct 25, 2021 · Charlotte, Nc
- J•• W•••••• L•• formerJan 6, 2017 to Apr 6, 2021 · Greenville, Sc
- J•• W•••••• L•• formerJul 21, 2016 to Dec 31, 2016 · Greenville, Sc
- P•••••• C••••••• L•• formerMay 24, 2004 to Sep 30, 2010 · Atlanta, Ga
- M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 25, 2021, registered Oct 18, 2021 (-7 days) · Other
- J•• W•••••• L•• to M••••••• L••left Apr 6, 2021, registered Jul 15, 2021 (100 days) · Other
- P•••••• C••••••• L•• to J•• W•••••• L••left Sep 30, 2010, registered Jul 21, 2016 (2121 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address