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.
G••• W•••••
- P•• W••••• M••••••••• BD affiliated currentsince Jul 22, 2019 · Charlotte, Nc
- A••••• F•••••••• A•••••••• L•• independent RIAMay 13, 2015 to May 10, 2019 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedJun 24, 2014 to Apr 6, 2015 · Charlotte, Nc
- P•••• S••••••••• L•• no RAUMJun 25, 2009 to Mar 30, 2010 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedMar 21, 2007 to Dec 9, 2008 · Charlotte, Nc
- A••••• F•••••••• A•••••••• L•• to P•• W••••• M•••••••••left May 10, 2019, registered Jul 22, 2019 (73 days) · RIA to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to A••••• F•••••••• A•••••••• L••left Apr 6, 2015, registered May 13, 2015 (37 days) · Other
- P•••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Mar 30, 2010, registered Jun 24, 2014 (1547 days) · Other
- A••••• A•• P••••••• S••••••• to P•••• S••••••••• L••left Dec 9, 2008, registered Jun 25, 2009 (198 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address