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.
T••••• G••• D•••
- D••• • C••••••• L••••• state registered currentsince Oct 17, 2018 · Charlotte, Nc
- R•• C•••••• M••••••• L•• national BDMar 6, 2009 to Apr 5, 2012 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Mar 26, 2009 · Charlotte, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedSep 30, 2004 to Feb 21, 2006 · Charlotte-South Park, Nc
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Mar 5, 2003 · Charlotte, Nc
- S••••••• BD affiliatedJan 13, 2000 to Jan 1, 2003 · Charlotte , Nc
- R•• C•••••• M••••••• L•• to D••• • C••••••• L•••••left Apr 5, 2012, registered Oct 17, 2018 (2386 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Mar 26, 2009, registered Mar 6, 2009 (-20 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- B•••• D••••••••• L•• to L••• M•••• W••• W•••••• I•••••••••left Mar 5, 2003, registered Sep 30, 2004 (575 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (0 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address