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•••••• W••••••••• J••••
- S•••••• A••••••• L•• independent RIA currentsince Mar 28, 2013 · Charlotte, Nc
- U••••• S••••••••• A•••••••• I••• unclassifiedJan 25, 2008 to Dec 31, 2010 · Englewood, Co
- I•••••• C••••••••• I••• unclassifiedMar 10, 2004 to Nov 28, 2007 · Charlotte, Nc
- U••••• S••••••••• A•••••••• I••• unclassifiedJul 17, 2000 to Mar 10, 2004 · Charlotte, Nc
- U••••• S••••••••• A•••••••• I••• to S•••••• A••••••• L••left Dec 31, 2010, registered Mar 28, 2013 (818 days) · Other
- I•••••• C••••••••• I••• to U••••• S••••••••• A•••••••• I•••left Nov 28, 2007, registered Jan 25, 2008 (58 days) · Other
- U••••• S••••••••• A•••••••• I••• to I•••••• C••••••••• I•••left Mar 10, 2004, registered Mar 10, 2004 (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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address