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.
P•••• T•••••••• R••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Asheville, Nc
- C•••••• G••••••• W••••• M••••••••• L•• formerJul 15, 2011 to Mar 17, 2015 · Asheville, Nc
- C••••• O•• W••••• M••••••••• L•• formerJan 27, 2010 to Mar 28, 2012 · Mount Pleasant, Sc
- T••••• F••••••••• L•• unclassifiedJul 17, 2009 to Dec 31, 2010 · Austin, Tx
- C••••• A••••••• L•• formerJan 3, 2007 to Jul 6, 2009 · Mooresville, Nc
- H•••••• F•••••••• G•••••••• unclassifiedNov 3, 2005 to Dec 31, 2006 · Mooresville, Nc
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 14, 1995 to Oct 4, 2005 · Hunterville, Nc
- C•••••• G••••••• W••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 17, 2015, registered Mar 21, 2024 (3292 days) · Other
- C••••• O•• W••••• M••••••••• L•• to C•••••• G••••••• W••••• M••••••••• L••left Mar 28, 2012, registered Jul 15, 2011 (-257 days) · Other
- T••••• F••••••••• L•• to C••••• O•• W••••• M••••••••• L••left Dec 31, 2010, registered Jan 27, 2010 (-338 days) · Other
- C••••• A••••••• L•• to T••••• F••••••••• L••left Jul 6, 2009, registered Jul 17, 2009 (11 days) · Other
- H•••••• F•••••••• G•••••••• to C••••• A••••••• L••left Dec 31, 2006, registered Jan 3, 2007 (3 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to H•••••• F•••••••• G••••••••left Oct 4, 2005, registered Nov 3, 2005 (30 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address