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.
R••••••••• C••••• B•••••
- C••• S••••• P••••••• BD affiliated currentsince Feb 28, 2014 · Charlotte, Nc
- G•••••••• C••••••••• L•• unclassifiedDec 21, 2010 to Mar 30, 2011 · Palm Beach Gardens, Fl
- G•• A••••••• S•••••••• L•• asset managerOct 15, 2004 to Apr 15, 2011 · Charlotte, Nc
- G•• A••••••• S•••••••• L•• to G•••••••• C••••••••• L••left Apr 15, 2011, registered Dec 21, 2010 (-115 days) · Other
- G•••••••• C••••••••• L•• to C••• S••••• P•••••••left Mar 30, 2011, registered Feb 28, 2014 (1066 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