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.
E•••••••• D• P••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 5, 2021 · Charlotte, Nc
- J••••• M••••••••• S•••• L•• BD affiliatedMay 23, 2016 to Nov 5, 2020 · Charlotte, Nc
- M••••• S•••••• wirehouseAug 18, 2014 to Jun 16, 2016 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 2, 2009 to Apr 30, 2010 · Charlotte, Nc
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Nov 5, 2020, registered Jan 5, 2021 (61 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Jun 16, 2016, registered May 23, 2016 (-24 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 30, 2010, registered Aug 18, 2014 (1571 days) · Wirehouse to wirehouse
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address