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.
D••• H••••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince May 6, 2024 · Charlotte, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to May 3, 2024 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJul 11, 2016 to Jan 2, 2018 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedSep 13, 2013 to Jul 22, 2016 · Fort Mill, Sc
- F•••• T•••• S••••••••• I••• BD affiliatedJul 19, 2010 to Sep 13, 2013 · Charlotte, Nc
- T••••• A••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left May 3, 2024, registered May 6, 2024 (3 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••left Jul 22, 2016, registered Jul 11, 2016 (-11 days) · Other
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Sep 13, 2013, registered Sep 13, 2013 (0 days) · Other
- D••• H•••••• left T••••• A••••••• S•••••••• I••• for H•••••• T••••••• • K•••• L•• (registered 2024-05-06)May 3, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address