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.
S•••• H••••• F••••
- A••••••• W••••• A•••••• S•••••••• asset manager currentsince Jan 31, 2024 · Charlotte, Nc
- S•••• W••••• M••••••••• L•• BD affiliatedJan 5, 2021 to Dec 13, 2023 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 13, 2017 to Dec 10, 2018 · Charlotte, Nc
- T• A••••••••• I••• formerMar 13, 2017 to Jan 6, 2021 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedApr 17, 2013 to Dec 23, 2016 · Charlotte, Nc
- C••••• S••••• S••••••••• •••• L•• formerNov 28, 2011 to Mar 20, 2013 · Morrisville, Nc
- N•• A•••••• S•••••••• L•• formerSep 29, 2011 to Dec 9, 2011 · Charlotte, Nc
- S•••• W••••• M••••••••• L•• to A••••••• W••••• A•••••• S••••••••left Dec 13, 2023, registered Jan 31, 2024 (49 days) · Other
- T• A••••••••• I••• to S•••• W••••• M••••••••• L••left Jan 6, 2021, registered Jan 5, 2021 (-1 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 10, 2018, registered Mar 13, 2017 (-637 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Dec 23, 2016, registered Mar 13, 2017 (80 days) · Other
- C••••• S••••• S••••••••• •••• L•• to L•• F•••••••• L••left Mar 20, 2013, registered Apr 17, 2013 (28 days) · Other
- N•• A•••••• S•••••••• L•• to C••••• S••••• S••••••••• •••• L••left Dec 9, 2011, registered Nov 28, 2011 (-11 days) · Other
- S•••• H••••• F•••• left S•••• W••••• M••••••••• L•• for A••••••• W••••• A•••••• S•••••••• (registered 2024-01-31)Dec 13, 2023 · a•••••• firm change · fact
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address