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.
R••••• P•••• C••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Huntersville, Nc
- M••••• K••••• • C••••••• L•• formerMay 1, 2009 to Feb 13, 2013 · Huntersville, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to May 20, 2009 · Cornelius, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 8, 2002 to Feb 21, 2006 · Lake Norman, Nc
- S•••• • S••••••••• L•• formerMay 29, 1998 to Nov 15, 2002 · Charlotte, Nc
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••left May 20, 2009, registered May 1, 2009 (-19 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to L••• M•••• W••• W•••••• I•••••••••left Nov 15, 2002, registered Nov 8, 2002 (-7 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address