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.
L••••• H••••••• M•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 2, 2019 · Charlotte, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 19, 2019 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJan 20, 2016 to Jan 2, 2018 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedOct 15, 2010 to Jan 25, 2016 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 27, 2003 to Jun 3, 2009 · Charlotte, Nc
- B••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 19, 2019, registered May 2, 2019 (72 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••left Jan 25, 2016, registered Jan 20, 2016 (-5 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 3, 2009, registered Oct 15, 2010 (499 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address