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••••••••• W•••• E••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Mar 22, 2006 · Charlotte, Nc
- U•••••••• S••••••••• I••• unclassifiedJan 4, 2005 to Feb 28, 2006 · Concord, Nc
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Jun 9, 2004 · Charlotte, Nc
- S••••••• BD affiliatedAug 28, 2001 to Jan 1, 2003 · Charlotte, Nc
- U•••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Feb 28, 2006, registered Mar 22, 2006 (22 days) · Other
- B•••• D••••••••• L•• to U•••••••• S••••••••• I•••left Jun 9, 2004, registered Jan 4, 2005 (209 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (0 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address