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••••• M••••• I••• mixed wealth currentsince May 2, 2017 · Concord, Nc
- F••••• W••••• P••••••• C••••••• I•• state registered currentsince Mar 9, 2009 · C••••••, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 3, 2005 to Oct 13, 2008 · C••••••, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 11, 2001 to Jan 10, 2005 · Charlotte, Nc
- U•••• F•••••••• S••••••• G••••• I••• to F••••• W••••• P••••••• C••••••• I••left Oct 13, 2008, registered Mar 9, 2009 (147 days) · Other
- M•• I•••••••• S•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Jan 10, 2005, registered Jan 3, 2005 (-7 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address