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.
O•••• C•••
- S••••••• C•••••• M••••••••• L•• other currentsince Mar 3, 2022 · Charlotte, Nc
- W•••• C•••••• M••••••••• L•• institutionalApr 24, 2019 to Oct 1, 2019 · Charlotte, Nc
- W•••• C•••••• M••••••••• L•• institutionalOct 4, 2013 to Mar 29, 2019 · Charlotte, Nc
- P••••••• A••••••••• L••• mixed wealthJan 14, 2008 to Jun 11, 2009 · New York, Ny
- W•••• C•••••• M••••••••• L•• to S••••••• C•••••• M••••••••• L••left Oct 1, 2019, registered Mar 3, 2022 (884 days) · Other
- P••••••• A••••••••• L••• to W•••• C•••••• M••••••••• L••left Jun 11, 2009, registered Oct 4, 2013 (1576 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
- Other adviserderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address