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.
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K••••• M• M••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Harrisburg, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 20, 2016 to May 20, 2022 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedJan 22, 2015 to May 4, 2016 · Gastonia, Nc
- U•• F•••••••• S••••••• I••• wirehouseMay 8, 2014 to Jan 8, 2015 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseDec 31, 2001 to Apr 14, 2014 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left May 20, 2022, registered May 18, 2022 (-2 days) · Wirehouse to independent RIA · moved with a team
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 4, 2016, registered May 20, 2016 (16 days) · Other
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Jan 8, 2015, registered Jan 22, 2015 (14 days) · Other
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Apr 14, 2014, registered May 8, 2014 (24 days) · Wirehouse to wirehouse
- K••••• M• M•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2022-05-18)May 20, 2022 · Advisor changed firm · fact
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