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.
M•••••• M••• O••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Feb 17, 2023 · Weaverville, Nc
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 5, 2006 to Feb 21, 2023 · Greensboro, Nc
- E••••• J•••• national BDFeb 7, 2006 to Sep 6, 2006 · St. Louis, Mo
- 1••• C•••••• M••••••••• C•••••• unclassifiedOct 3, 2005 to Feb 7, 2006 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseNov 8, 2004 to Apr 28, 2005 · Asheville, Nc
- M••••• S•••••• D• I••• unclassifiedJul 8, 2004 to Nov 3, 2004 · Charlotte, Nc
- V•••• F•••••••• A•••••••• I••• to F•••• T•••• S••••••••• I•••left Feb 21, 2023, registered Feb 17, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to V•••• F•••••••• A•••••••• I•••left Sep 6, 2006, registered Oct 5, 2006 (29 days) · Other
- 1••• C•••••• M••••••••• C•••••• to E••••• J••••left Feb 7, 2006, registered Feb 7, 2006 (0 days) · Other
- U•• F•••••••• S••••••• I••• to 1••• C•••••• M••••••••• C••••••left Apr 28, 2005, registered Oct 3, 2005 (158 days) · Other
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Nov 3, 2004, registered Nov 8, 2004 (5 days) · Other
- M•••••• M••• O•••••• left V•••• F•••••••• A•••••••• I••• for F•••• T•••• S••••••••• I••• (registered 2023-02-17)Feb 21, 2023 · Advisor changed firm · fact
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address