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.
E•••••••• A••••••• M•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Nov 19, 2018 · Charlotte, Nc
- A•••••••• F•••• M••••••••• L•• asset managerJun 9, 2017 to Nov 1, 2018 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedJan 22, 2013 to Apr 11, 2017 · Statesville, Nc
- R•••• I••••••••• A••••••• L•• BD affiliatedApr 13, 2011 to Dec 31, 2012 · Cornelius, Nc
- A••••••• P••••••••• A•••••••• I•• formerMar 10, 2009 to Apr 13, 2011 · Holbrook, Ny
- Q•••••• A•••• M••••••••• I••• formerJan 29, 2008 to Mar 5, 2009 · Cornelius, Nc
- A•••••••• F•••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left Nov 1, 2018, registered Nov 19, 2018 (18 days) · Other
- L•• F•••••••• L•• to A•••••••• F•••• M••••••••• L••left Apr 11, 2017, registered Jun 9, 2017 (59 days) · Other
- R•••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Dec 31, 2012, registered Jan 22, 2013 (22 days) · Other
- A••••••• P••••••••• A•••••••• I•• to R•••• I••••••••• A••••••• L••left Apr 13, 2011, registered Apr 13, 2011 (0 days) · Other
- Q•••••• A•••• M••••••••• I••• to A••••••• P••••••••• A•••••••• I••left Mar 5, 2009, registered Mar 10, 2009 (5 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address