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.
- O••••••••• institutional currentsince Sep 22, 2021 · Raleigh, Nc
- L•••••• I••••••••• A•••••••• L•• no RAUMJan 30, 2018 to Jun 25, 2021 · Charlotte, Nc
- M•• S••••••••• L•• formerFeb 29, 2008 to Oct 25, 2012 · Charlotte, Nc
- C•••••• L•• independent RIAMar 23, 2004 to Dec 11, 2006 · Raleigh, Nc
- L•••••• I••••••••• A•••••••• L•• to O•••••••••left Jun 25, 2021, registered Sep 22, 2021 (89 days) · Other
- M•• S••••••••• L•• to L•••••• I••••••••• A•••••••• L••left Oct 25, 2012, registered Jan 30, 2018 (1923 days) · Other
- C•••••• L•• to M•• S••••••••• L••left Dec 11, 2006, registered Feb 29, 2008 (445 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
- Institutional managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address