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••••• G•••••• F•••
- W•••• F•••• A••••••• wirehouse currentsince Aug 20, 2012 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 23, 2012 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 9, 2005 to Oct 23, 2009 · Charlotte, Nc
- B••• A•••••••• L•• formerFeb 2, 2005 to Mar 9, 2005 · Charlotte, Nc
- B•••• D••••••••• L•• unclassifiedApr 7, 2004 to Feb 10, 2005 · Charlotte, Nc
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Apr 2, 2004 · Charlotte, Nc
- S••••••• BD affiliatedOct 3, 2001 to Jan 1, 2003 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Aug 23, 2012, registered Aug 20, 2012 (-3 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- B••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 9, 2005, registered Mar 9, 2005 (0 days) · Other
- B•••• D••••••••• L•• to B••• A•••••••• L••left Feb 10, 2005, registered Feb 2, 2005 (-8 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (0 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address