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.
R•••• C••••••••• D••••••
- D••• D••••••• • C•• independent RIA currentsince Nov 29, 2021 · Coeur D'Alene, Id
- T••••• A••••••• S•••••••• I••• BD affiliatedNov 16, 2020 to Sep 30, 2021 · Mt.Pleasant, Sc
- B••• S••••••••• L•• formerJan 14, 2016 to Feb 17, 2021 · Mt. Pleasant, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 5, 2007 to Dec 3, 2015 · Charlotte, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Oct 19, 2007 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedFeb 12, 1999 to Apr 2, 2007 · Purchase, Ny
- T••••• A••••••• S•••••••• I••• to D••• D••••••• • C••left Sep 30, 2021, registered Nov 29, 2021 (60 days) · Affiliated broker-dealer or bank to independent RIA
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Nov 16, 2020 (-93 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• L••left Dec 3, 2015, registered Jan 14, 2016 (42 days) · Other
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 19, 2007, registered Dec 5, 2007 (47 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address