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.
T•••••• H••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 3, 2024 · Waxhaw, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 16, 2022 to Oct 31, 2024 · Charlotte, Nc
- E••••• J•••• national BDMar 19, 2018 to May 17, 2022 · Waxhaw, Nc
- P•• W••••• M••••••••• BD affiliatedJul 13, 2016 to Oct 7, 2016 · Charlotte, Nc
- P••• I••••••••• L•• asset managerJun 21, 2004 to Feb 4, 2016 · Waxhaw, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 31, 2024, registered Dec 3, 2024 (33 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 17, 2022, registered May 16, 2022 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- P•• W••••• M••••••••• to E••••• J••••left Oct 7, 2016, registered Mar 19, 2018 (528 days) · Other
- P••• I••••••••• L•• to P•• W••••• M•••••••••left Feb 4, 2016, registered Jul 13, 2016 (160 days) · Other
- T•••••• H•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-12-03)Oct 31, 2024 · Advisor changed firm · fact
- T•••••• H•••••••• left E••••• J•••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-05-16)May 17, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address