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••••• T•••••• F•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 9, 2023 · Horse Shoe, Nc
- C•••••••• F•••••••• G•••• A••••••• formerMay 17, 2012 to May 5, 2023 · Hendersonville, Nc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 14, 2006 to May 17, 2012 · Asheville, Nc
- C•••••••• F•••••••• G•••• A••••••• to L•• F•••••••• L••left May 5, 2023, registered May 9, 2023 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to C•••••••• F•••••••• G•••• A•••••••left May 17, 2012, registered May 17, 2012 (0 days) · Other
- M••••• T•••••• F••••••• left C•••••••• F•••••••• G•••• A••••••• for L•• F•••••••• L•• (registered 2023-05-09)May 5, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address