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.
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · Alpharetta, Ga
- E•••••• C•••••• M••••••••• L•• formerJul 18, 2022 to Sep 5, 2023 · Charlotte, Nc
- V••••••• A•••••••• I••• BD affiliatedOct 1, 2019 to Jul 7, 2022 · Charlotte, Nc
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- V••••••• A•••••••• I••• to E•••••• C•••••• M••••••••• L••left Jul 7, 2022, registered Jul 18, 2022 (11 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- R•••••• T• B•••• left V••••••• A•••••••• I••• for E•••••• C•••••• M••••••••• L•• (registered 2022-07-18)Jul 7, 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address