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.
C•••••• F•••••• M••••••••
- M••••••••• R••••••••• BD affiliated currentsince Oct 6, 2020 · Washington, Dc
- M••••••••• R••••••••• BD affiliatedApr 6, 2020 to Apr 9, 2020 · Washington, Dc
- L•• F•••••••• L•• BD affiliatedJul 1, 2016 to May 24, 2018 · Charlotte, Nc
- M•• S••••••••• L•• formerJul 22, 2010 to Jun 7, 2016 · Charlotte, Nc
- A••••••• S••••••••• G••••• I••• unclassifiedMar 2, 2005 to Mar 23, 2006 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 9, 2002 to Dec 31, 2004 · Charlotte, Nc
- L•• F•••••••• L•• to M••••••••• R•••••••••left May 24, 2018, registered Apr 6, 2020 (683 days) · Other
- M•• S••••••••• L•• to L•• F•••••••• L••left Jun 7, 2016, registered Jul 1, 2016 (24 days) · Other
- A••••••• S••••••••• G••••• I••• to M•• S••••••••• L••left Mar 23, 2006, registered Jul 22, 2010 (1582 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••••• S••••••••• G••••• I•••left Dec 31, 2004, registered Mar 2, 2005 (61 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address