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.
P•••• M• J•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Fort Mill, Sc
- S•••••• W••••• P•••••••• L•• BD affiliatedFeb 8, 2013 to Mar 30, 2018 · Charlotte, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedOct 22, 2008 to Dec 31, 2011 · Charlotte, Nc
- O•••• F•• I••• formerSep 19, 2006 to Apr 5, 2007 · Winston Salem, Nc
- S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••left Mar 30, 2018, registered Jan 1, 2025 (2469 days) · RIA to affiliated broker-dealer or bank
- U•••• F•••••••• S••••••• G••••• I••• to S•••••• W••••• P•••••••• L••left Dec 31, 2011, registered Feb 8, 2013 (405 days) · Other
- O•••• F•• I••• to U•••• F•••••••• S••••••• G••••• I•••left Apr 5, 2007, registered Oct 22, 2008 (566 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address