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.
J••••• S• C•••
- W•••• F•••• A••••••• wirehouse currentsince Mar 23, 2023 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 23, 2013 to Mar 13, 2023 · Charlotte, Nc
- F•••• C••••••• A•••• M••••••••• I•• BD affiliatedFeb 14, 2011 to May 14, 2013 · Raleigh, Nc
- S••••••• I••••••••• S•••••••• I••• formerMay 11, 2006 to Feb 11, 2011 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerOct 4, 2002 to May 1, 2006 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseDec 31, 2001 to Oct 10, 2002 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 13, 2023, registered Mar 23, 2023 (10 days) · Wirehouse to wirehouse
- F•••• C••••••• A•••• M••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 14, 2013, registered May 23, 2013 (9 days) · Other
- S••••••• I••••••••• S•••••••• I••• to F•••• C••••••• A•••• M••••••••• I••left Feb 11, 2011, registered Feb 14, 2011 (3 days) · Other
- B••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left May 1, 2006, registered May 11, 2006 (10 days) · Other
- U•• F•••••••• S••••••• I••• to B••• I••••••••• S•••••••• I•••left Oct 10, 2002, registered Oct 4, 2002 (-6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••• S• C••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2023-03-23)Mar 13, 2023 · 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address