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.
G•••• W••••• A••••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Jan 5, 2023 · Charlotte, Nc
- V•••• L•• independent RIAOct 24, 2019 to Sep 1, 2022 · Troy, Mi
- L•• F•••••••• L•• BD affiliatedMar 10, 2008 to Jul 11, 2008 · Greensboro, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 16, 2007 to Mar 10, 2008 · Winston-Salem, Nc
- W•••• F•••• A••••••• wirehouseJul 10, 2006 to Apr 16, 2007 · Greensboro, Nc
- F•••• H•••••• A•••••••• I•• formerJun 16, 2004 to Jun 23, 2006 · Johnson City, Tn
- M•• F•••••••• S•••••••• I••• formerFeb 23, 2004 to Jun 22, 2004 · New York, Ny
- Q•••• • R•••••• I••• unclassifiedApr 28, 2003 to Nov 26, 2003 · Charlotte , Nc
- A••••••••• F•••••••• S•••••••• L•• national BDDec 31, 2001 to Apr 30, 2003 · Charlotte, Nc
- V•••• L•• to V••••••• A•••••••• I•••left Sep 1, 2022, registered Jan 5, 2023 (126 days) · Other
- L•• F•••••••• L•• to V•••• L••left Jul 11, 2008, registered Oct 24, 2019 (4122 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Mar 10, 2008, registered Mar 10, 2008 (0 days) · Other
- W•••• F•••• A••••••• to U•••• F•••••••• S••••••• G••••• I•••left Apr 16, 2007, registered Apr 16, 2007 (0 days) · Other
- F•••• H•••••• A•••••••• I•• to W•••• F•••• A•••••••left Jun 23, 2006, registered Jul 10, 2006 (17 days) · Other
- M•• F•••••••• S•••••••• I••• to F•••• H•••••• A•••••••• I••left Jun 22, 2004, registered Jun 16, 2004 (-6 days) · Other
- Q•••• • R•••••• I••• to M•• F•••••••• S•••••••• I•••left Nov 26, 2003, registered Feb 23, 2004 (89 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to Q•••• • R•••••• I•••left Apr 30, 2003, registered Apr 28, 2003 (-2 days) · Other
- G•••• W••••• A•••••••• left V•••• L•• for V••••••• A•••••••• I••• (registered 2023-01-05)Sep 1, 2022 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address