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•••••• S•••• M•••••
- C•• A•••• M••••••••• G•••• independent RIA currentsince Oct 10, 2018 · Charlotte, Nc
- T•• B••••• C•••••• independent RIAOct 22, 2012 to Jan 3, 2018 · Waxhaw, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 10, 2009 to Apr 1, 2011 · Charlotte, Nc
- T• A••••••••• I••• formerJun 10, 2009 to Apr 1, 2011 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseMay 15, 2009 to Jun 18, 2009 · Weehawken, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDJan 12, 2005 to Mar 27, 2008 · Charlotte, Nc
- T•• B••••• C•••••• to C•• A•••• M••••••••• G••••left Jan 3, 2018, registered Oct 10, 2018 (280 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T•• B••••• C••••••left Apr 1, 2011, registered Oct 22, 2012 (570 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 1, 2011, registered Jun 10, 2009 (-660 days) · channel change inside one enterprise, not a move
- U•• F•••••••• S••••••• I••• to T• A••••••••• I•••left Jun 18, 2009, registered Jun 10, 2009 (-8 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Mar 27, 2008, registered May 15, 2009 (414 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address