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.
J••••••• M•••••• M•••••
- H••••••••• I••••••••• C• independent RIA currentsince Feb 23, 2024 · Charlotte, Nc
- M•••••• P••••••• formerSep 16, 2022 to Feb 21, 2024 · Charlotte, Nc
- S••••••• E••••••••• L•• unclassifiedMay 30, 2013 to Sep 26, 2022 · Charlotte, Nc
- M•••••• P••••••• to H••••••••• I••••••••• C•left Feb 21, 2024, registered Feb 23, 2024 (2 days) · RIA to RIA
- S••••••• E••••••••• L•• to M•••••• P•••••••left Sep 26, 2022, registered Sep 16, 2022 (-10 days) · Other
- J••••••• M•••••• M••••• left M•••••• P••••••• for H••••••••• I••••••••• C• (registered 2024-02-23)Feb 21, 2024 · Advisor changed firm · fact
- J••••••• M•••••• M••••• left S••••••• E••••••••• L•• for M•••••• P••••••• (registered 2022-09-16)Sep 26, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address