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.
C•••• D••••••••• R••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Charleston, Wv
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJan 18, 2012 to Jan 2, 2018 · Charlotte, Nc
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Jan 10, 2012 · Charleston, Wv
- J••• M••••• S••••••••• I••• unclassifiedMar 7, 2008 to Oct 1, 2008 · Charleston, Wv
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 7, 2005 to Aug 15, 2006 · Charleston, Wv
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to B••• I••••••••• S•••••••• I•••left Jan 10, 2012, registered Jan 18, 2012 (8 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• I•••left Aug 15, 2006, registered Mar 7, 2008 (570 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address