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.
S•••••• V• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 22, 2022 · Greensboro, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Sep 22, 2022 · Atlanta, Ga
- B••• S••••••••• L•• formerOct 1, 2020 to Feb 17, 2021 · Richmond, Va
- L•• F•••••••• L•• BD affiliatedDec 10, 2018 to Sep 11, 2020 · Fort Mill, Sc
- S••••••••• A•••••• A•••••••• I••• formerMay 31, 2016 to Nov 20, 2018 · Charlotte, Nc
- C•••••• S••••• • C••• I••• national BDJul 7, 2006 to Apr 14, 2016 · Englewood, Co
- T••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 22, 2022, registered Sep 22, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••• S••••••••• L••left Sep 11, 2020, registered Oct 1, 2020 (20 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Nov 20, 2018, registered Dec 10, 2018 (20 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to S••••••••• A•••••• A•••••••• I•••left Apr 14, 2016, registered May 31, 2016 (47 days) · Other
- S•••••• V• S••••• left T••••• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-09-22)Sep 22, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address