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.
G••••• C••••••• B•••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Mar 25, 2020 · Charlotte, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Mar 4, 2020 · Columbia, Sc
- B••• I••••••••• S•••••••• I••• formerFeb 3, 2009 to Jan 2, 2018 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerMay 29, 2008 to Dec 31, 2008 · Charlotte, Nc
- W•••• F•••• I••••••••• L•• unclassifiedMar 7, 2005 to Aug 9, 2006 · Austin, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedFeb 7, 2003 to Mar 2, 2005 · Austin, Tx
- W•••• F•••• A••••••• wirehouseOct 1, 1999 to Oct 1, 2002 · Charlottesville, Va
- B••• S••••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left Mar 4, 2020, registered Mar 25, 2020 (21 days) · Affiliated broker-dealer or bank to another
- 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•••• I••••••••• L•• to B••• I••••••••• S•••••••• I•••left Aug 9, 2006, registered May 29, 2008 (659 days) · Other
- B••• O•• S••••••••• C••••••••• to W•••• F•••• I••••••••• L••left Mar 2, 2005, registered Mar 7, 2005 (5 days) · Other
- W•••• F•••• A••••••• to B••• O•• S••••••••• C•••••••••left Oct 1, 2002, registered Feb 7, 2003 (129 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