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.
S••••• C•••• S••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 19, 2017 · Charlotte, Nc
- O•••• F•• I••• formerMay 27, 2015 to Sep 27, 2017 · Columbia, Sc
- G••••• F•••••••• P•••••• C••••••• I••• formerApr 9, 2010 to Apr 8, 2015 · Charlotte, Nc
- A•••••••• F•••••••• A•••••••• L•• state registeredJun 25, 2007 to Apr 8, 2010 · Miami Beach, Fl
- O•••• F•• I••• formerApr 4, 2003 to Sep 21, 2006 · Charlotte, Nc
- V••••••• I••••••••• A•••••••• I••• unclassifiedDec 31, 2001 to Mar 26, 2003 · Charlotte, Nc
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 27, 2017, registered Oct 19, 2017 (22 days) · Other
- G••••• F•••••••• P•••••• C••••••• I••• to O•••• F•• I•••left Apr 8, 2015, registered May 27, 2015 (49 days) · Other
- A•••••••• F•••••••• A•••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Apr 8, 2010, registered Apr 9, 2010 (1 days) · Other
- O•••• F•• I••• to A•••••••• F•••••••• A•••••••• L••left Sep 21, 2006, registered Jun 25, 2007 (277 days) · Other
- V••••••• I••••••••• A•••••••• I••• to O•••• F•• I•••left Mar 26, 2003, registered Apr 4, 2003 (9 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address