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•••• R•••••• C•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Dec 1, 2021 · Charlotte, Nc
- C•••••• F•••••••• A••••••••• I•• formerFeb 2, 2015 to Dec 6, 2021 · Charlotte, Nc
- C•••••• F•••••••• A••••••••• I•• formerApr 7, 2010 to May 15, 2013 · Charlotte, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 7, 2009 to Feb 22, 2010 · Charlotte, Nc
- C••••• F••••••••• I••• unclassifiedNov 12, 2008 to Jul 31, 2009 · Fort Mill, Sc
- C•••••• F•••••••• A••••••••• I•• to W••••• E••••••••• A••••••• S•••••••• L••left Dec 6, 2021, registered Dec 1, 2021 (-5 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to C•••••• F•••••••• A••••••••• I••left Feb 22, 2010, registered Apr 7, 2010 (44 days) · Other
- C••••• F••••••••• I••• to M•• I•••••••• S•••••••• L••left Jul 31, 2009, registered Aug 7, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address