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.
E••• R••••• G••••
- A•••••••• C•••••• M••••••••• independent RIA currentsince Oct 18, 2023 · Boiling Springs, Sc
- S•••••••• F•••••••• A•••••••• L•• independent RIASep 16, 2019 to Apr 15, 2021 · Flat Rock, Nc
- I••••••••• F•••••••• S••••••••• L•• no RAUMJan 10, 2019 to Sep 5, 2019 · Asheville, Nc
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliatedSep 8, 2010 to Dec 31, 2017 · Raleigh, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedMay 2, 2005 to Jul 21, 2010 · Hendersonville, Nc
- R•• C•••••• M••••••• L•• national BDOct 13, 2003 to May 9, 2005 · Ashville, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedMay 13, 1999 to Oct 20, 2003 · Waynesville, Nc
- S•••••••• F•••••••• A•••••••• L•• to A•••••••• C•••••• M•••••••••left Apr 15, 2021, registered Oct 18, 2023 (916 days) · RIA to RIA
- I••••••••• F•••••••• S••••••••• L•• to S•••••••• F•••••••• A•••••••• L••left Sep 5, 2019, registered Sep 16, 2019 (11 days) · RIA to RIA · moved with a team
- C•••••• I••••••••• A••••••• S•••••••• L•• to I••••••••• F•••••••• S••••••••• L••left Dec 31, 2017, registered Jan 10, 2019 (375 days) · Other
- F•••• C••••••• I••••••• S•••••••• I••• to C•••••• I••••••••• A••••••• S•••••••• L••left Jul 21, 2010, registered Sep 8, 2010 (49 days) · Other
- R•• C•••••• M••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left May 9, 2005, registered May 2, 2005 (-7 days) · Other
- F•••• C••••••• I••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Oct 20, 2003, registered Oct 13, 2003 (-7 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address