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.
D•••• B•••• R•••••••
- G••••••••• W••••• A••••••• independent RIA currentsince Jun 10, 2015 · Frisco, Tx
- I•••• F••• A•••••••• I••• independent RIASep 15, 2014 to Jun 1, 2015 · Frisco, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 18, 2008 to Oct 14, 2014 · Frisco, Tx
- C••••• B•••••• W••••• M••••••••• L•• formerMar 3, 2004 to Dec 10, 2008 · Charlotte, Nc
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMJul 28, 2003 to Feb 10, 2004 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 29, 2002 to Jul 11, 2003 · Charlotte, Nc
- C•••••• P••••••• G•••• unclassifiedMay 6, 2002 to May 6, 2002 · Charlotte, Nc
- I•••• F••• A•••••••• I••• to G••••••••• W••••• A•••••••left Jun 1, 2015, registered Jun 10, 2015 (9 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to I•••• F••• A•••••••• I•••left Oct 14, 2014, registered Sep 15, 2014 (-29 days) · Other
- C••••• B•••••• W••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 10, 2008, registered Dec 18, 2008 (8 days) · Other
- E•••• • Y•••• I••••••••• A••••••• L•• to C••••• B•••••• W••••• M••••••••• L••left Feb 10, 2004, registered Mar 3, 2004 (22 days) · Other
- C••••• I••••••••• A••••••• L•• to E•••• • Y•••• I••••••••• A••••••• L••left Jul 11, 2003, registered Jul 28, 2003 (17 days) · Other
- C•••••• P••••••• G•••• to C••••• I••••••••• A••••••• L••left May 6, 2002, registered Oct 29, 2002 (176 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address