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•••• A••••• F•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 2, 2021 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseApr 26, 2017 to Nov 2, 2021 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseNov 19, 2012 to Apr 5, 2017 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedAug 5, 2011 to Oct 17, 2012 · Fort Mill, Sc
- M•• F•••••••• S•••••••• I••• formerAug 11, 2010 to Aug 9, 2011 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 1, 2009 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 11, 2005 to Jun 1, 2009 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 2, 2021, registered Nov 2, 2021 (0 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Apr 5, 2017, registered Apr 26, 2017 (21 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Oct 17, 2012, registered Nov 19, 2012 (33 days) · Other
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 9, 2011, registered Aug 5, 2011 (-4 days) · Other
- M••••• S•••••• to M•• F•••••••• S•••••••• I•••left Oct 1, 2009, registered Aug 11, 2010 (314 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address