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.
- H•••••• F•••••••• G••••• L•• former currentsince Sep 30, 2020 · H••••••, Nc
- H•••••• F•••••••• G••••• L•• formerDec 14, 2019 to Sep 1, 2020 · H••••••, Nc
- A••••• P•••••• A•••••••• L•• formerNov 6, 2018 to Jan 17, 2020 · Hickory, Nc
- C•••••• G••••••• W••••• M••••••••• L•• formerNov 19, 2012 to Nov 6, 2018 · H••••••, Nc
- C•••••• S••••••••• M••••••••• I••• independent RIAMar 30, 2007 to Nov 19, 2012 · H••••••, Nc
- A••••••• • S••••••••• I••••••••• formerApr 4, 2005 to Mar 27, 2007 · H••••••, Nc
- A•• C•••••• A•••••••• I••• unclassifiedJun 18, 2004 to Apr 4, 2005 · H••••••, Nc
- U•• F•••••••• S••••••• I••• wirehouseDec 31, 2001 to Feb 3, 2004 · H••••••, Nc
- A••••• P•••••• A•••••••• L•• to H•••••• F•••••••• G••••• L••left Jan 17, 2020, registered Dec 14, 2019 (-34 days) · RIA to a newly registered adviser
- C•••••• G••••••• W••••• M••••••••• L•• to A••••• P•••••• A•••••••• L••left Nov 6, 2018, registered Nov 6, 2018 (0 days) · RIA to a newly registered adviser
- C•••••• S••••••••• M••••••••• I••• to C•••••• G••••••• W••••• M••••••••• L••left Nov 19, 2012, registered Nov 19, 2012 (0 days) · Other
- A••••••• • S••••••••• I••••••••• to C•••••• S••••••••• M••••••••• I•••left Mar 27, 2007, registered Mar 30, 2007 (3 days) · Other
- A•• C•••••• A•••••••• I••• to A••••••• • S••••••••• I•••••••••left Apr 4, 2005, registered Apr 4, 2005 (0 days) · Other
- U•• F•••••••• S••••••• I••• to A•• C•••••• A•••••••• I•••left Feb 3, 2004, registered Jun 18, 2004 (136 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
- Former SEC-registered adviserderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address