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.
P•••••• L•••• C••••
- O••••••• F•••••••• G••••• I••• independent RIA currentsince Feb 20, 2009 · Wilmington, Nc
- O••••••• F•••••••• G••••• I••• independent RIAFeb 22, 2006 to Dec 31, 2008 · Hickory, Nc
- O• I••••••••• M••••••••• C• BD affiliatedFeb 23, 2004 to Feb 22, 2006 · Hickory, Nc
- L•• F•••••••• L•• BD affiliatedSep 12, 2002 to Feb 27, 2004 · Hickory, Nc
- C••••••• I••••••••• I••• unclassifiedDec 31, 2001 to Sep 9, 2002 · Cincinnati, Oh
- O• I••••••••• M••••••••• C• to O••••••• F•••••••• G••••• I•••left Feb 22, 2006, registered Feb 22, 2006 (0 days) · Other
- L•• F•••••••• L•• to O• I••••••••• M••••••••• C•left Feb 27, 2004, registered Feb 23, 2004 (-4 days) · Other
- C••••••• I••••••••• I••• to L•• F•••••••• L••left Sep 9, 2002, registered Sep 12, 2002 (3 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address