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.
- M••••• S•••••• wirehouse currentsince Feb 10, 2025 · Charlotte, Nc
- R••••••••• C•••••• M••••••••• BD affiliatedFeb 8, 2024 to Feb 10, 2025 · Atlanta, Ga
- M••••• S•••••• wirehouseMar 7, 2023 to Feb 14, 2024 · Charlotte, Nc
- R••••••••• C•••••• M••••••••• to M••••• S••••••left Feb 10, 2025, registered Feb 10, 2025 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R••••••••• C•••••• M•••••••••left Feb 14, 2024, registered Feb 8, 2024 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• S• B•••• left R••••••••• C•••••• M••••••••• for M••••• S•••••• (registered 2025-02-10)Feb 10, 2025 · Advisor changed firm · fact
- M•••••• S• B•••• left M••••• S•••••• for R••••••••• C•••••• M••••••••• (registered 2024-02-08)Feb 14, 2024 · Advisor changed firm · 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address