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.
C•••••• M••••• B•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Feb 23, 2016 · Charleston, Sc
- B••• I••••••••• S•••••••• I••• formerJan 26, 2009 to Oct 9, 2015 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerAug 12, 2008 to Dec 31, 2008 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMar 6, 2003 to Jan 29, 2008 · Lynchburg, Va
- B••• I••••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Oct 9, 2015, registered Feb 23, 2016 (137 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jan 29, 2008, registered Aug 12, 2008 (196 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address