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.
K•••• L•• L•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Nov 27, 2018 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 10, 2010 to Feb 22, 2013 · Charlotte, Nc
- F•••••• F•••••••• G••••• L•• state registeredJul 28, 2009 to Nov 4, 2009 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJul 3, 2008 to May 28, 2009 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerDec 17, 2007 to Jun 11, 2008 · Charlotte, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 19, 2006 to Aug 28, 2007 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 21, 2004 to Apr 4, 2006 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedAug 14, 2002 to Oct 28, 2003 · Charlotte, Nc
- M••••• S•••••• to T••••• A••••••• S•••••••• I•••left Feb 22, 2013, registered Nov 27, 2018 (2104 days) · Wirehouse to affiliated broker-dealer or bank
- F•••••• F•••••••• G••••• L•• to M••••• S••••••left Nov 4, 2009, registered Jun 10, 2010 (218 days) · Other
- W•••• F•••• A••••••• to F•••••• F•••••••• G••••• L••left May 28, 2009, registered Jul 28, 2009 (61 days) · Wirehouse to a state-registered adviser
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 11, 2008, registered Jul 3, 2008 (22 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to B••• I••••••••• S•••••••• I•••left Aug 28, 2007, registered Dec 17, 2007 (111 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Apr 4, 2006, registered Apr 19, 2006 (15 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 28, 2003, registered Apr 21, 2004 (176 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address