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•••••• E••• F••••••
- F•••••• F•••••••• G••••• L•• state registered currentsince Jul 28, 2009 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJun 19, 2007 to Feb 13, 2009 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Jul 21, 2006 · Charlotte, Nc
- T• A••••••••• I••• formerJul 2, 2003 to Jul 21, 2006 · Charlotte, Nc
- W•••• F•••• A••••••• to F•••••• F•••••••• G••••• L••left Feb 13, 2009, registered Jul 28, 2009 (165 days) · Wirehouse to a state-registered adviser
- T• A••••••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••left Jul 21, 2006, registered Jun 19, 2007 (333 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 21, 2006, registered Apr 25, 2006 (-87 days) · channel change inside one enterprise, 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
- STATE REGISTEREDderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address