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•••••• G•••••• J•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Dec 1, 2021 · Plymouth, Mn
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthJul 20, 2015 to Dec 6, 2021 · Charlotte, Nc
- C••••• A•••••• N••••••• L•• formerMar 30, 2006 to Jul 20, 2015 · Charlotte, Nc
- T••••••••• W••••• M••••••••• I••• i••••••••• wealthJun 28, 2004 to Mar 30, 2006 · Charlotte, Nc
- I••••••••• A•••••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Dec 6, 2021, registered Dec 1, 2021 (-5 days) · RIA to affiliated broker-dealer or bank
- C••••• A•••••• N••••••• L•• to I••••••••• A•••••• A•••••••• L••left Jul 20, 2015, registered Jul 20, 2015 (0 days) · Other
- T••••••••• W••••• M••••••••• I••• to C••••• A•••••• N••••••• L••left Mar 30, 2006, registered Mar 30, 2006 (0 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address