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.
C•••••• K••••••• M•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 8, 2016 · Cornelius, Nc
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 21, 2016 · Panama City Beach, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedApr 4, 2007 to May 13, 2016 · St. Petersburg, Fl
- S••••••••• A•••••• A•••••••• I••• formerDec 1, 2003 to Apr 10, 2007 · Cornelius, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to Jan 30, 2003 · Charlotte, Nc
- S••••••• I••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 21, 2016, registered Nov 8, 2016 (-13 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Apr 10, 2007, registered Apr 4, 2007 (-6 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to S••••••••• A•••••• A•••••••• I•••left Jan 30, 2003, registered Dec 1, 2003 (305 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address