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.
M•••••• A••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 24, 2018 · Fort Mill, Sc
- B••• S••••••••• L•• formerJan 2, 2018 to Jan 16, 2018 · Harrisburg, Nc
- B••• I••••••••• S•••••••• I••• formerNov 6, 2012 to Jan 2, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseApr 5, 2010 to Nov 6, 2012 · Charlotte, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to Apr 6, 2010 · Charlotte, Nc
- N•• F•••••••• S•••••••• I••• unclassifiedOct 23, 2002 to Jan 3, 2005 · Durham, Nc
- O•••• F•• I••• formerJul 16, 2002 to Aug 13, 2002 · Fort Wayne, In
- B••• S••••••••• L•• to L•• F•••••••• L••left Jan 16, 2018, registered Jan 24, 2018 (8 days) · Other
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Nov 6, 2012, registered Nov 6, 2012 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Apr 6, 2010, registered Apr 5, 2010 (-1 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to N•• F•••••••• S•••••••• I•••left Aug 13, 2002, registered Oct 23, 2002 (71 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address