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•••••• S•••• P•••••••
- A•••• I••••••••• S••••••••• L•• state registered currentsince May 18, 2018 · Fort Mill, Sc
- M••••• I••••••••• L•• independent RIAAug 3, 2017 to Dec 11, 2018 · Fort Mill, Sc
- B••••••••• C•••••• M••••••••• L•• independent RIAJun 1, 2015 to Jul 13, 2016 · Charlotte, Nc
- I•••••••• A•••••••• L•• BD affiliatedSep 3, 2012 to Dec 2, 2013 · Charlotte, Nc
- B••••••••• C•••••• M••••••••• L•• independent RIAMay 17, 2010 to Apr 13, 2012 · Charlotte, Nc
- M••••• I••••••••• L•• to A•••• I••••••••• S••••••••• L••left Dec 11, 2018, registered May 18, 2018 (-207 days) · RIA to a state-registered adviser
- B••••••••• C•••••• M••••••••• L•• to M••••• I••••••••• L••left Jul 13, 2016, registered Aug 3, 2017 (386 days) · Other
- I•••••••• A•••••••• L•• to B••••••••• C•••••• M••••••••• L••left Dec 2, 2013, registered Jun 1, 2015 (546 days) · Other
- B••••••••• C•••••• M••••••••• L•• to I•••••••• A•••••••• L••left Apr 13, 2012, registered Sep 3, 2012 (143 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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address