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••••• H•••••
- B•••••• B•••••• I••• state registered currentsince May 22, 2019 · D••••Son, Nc
- R•••• I••••••••• A••••••• L•• BD affiliatedSep 6, 2012 to May 22, 2019 · D••••Son, Nc
- F•••• A••••• A••••••• S•••••••• I••• formerJun 6, 2012 to Sep 17, 2012 · Charlotte, Nc
- F•••• A••••• S••••••••• I••• formerJul 12, 2006 to Jul 2, 2012 · San Diego, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 16, 2002 to Jul 3, 2006 · Waxhaw, Nc
- R•••• I••••••••• A••••••• L•• to B•••••• B•••••• I•••left May 22, 2019, registered May 22, 2019 (0 days) · Affiliated broker-dealer or bank to a state-registered adviser
- F•••• A••••• A••••••• S•••••••• I••• to R•••• I••••••••• A••••••• L••left Sep 17, 2012, registered Sep 6, 2012 (-11 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jun 6, 2012 (-26 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S•••••••• I••• to F•••• A••••• S••••••••• I•••left Jul 3, 2006, registered Jul 12, 2006 (9 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address