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.
P••• S••••• P••••••••
- F•••• A••••••• N•••••••• L•• independent RIA currentsince Jan 25, 2013 · Rock Hill, Sc
- I•••••••• F•• W••••• A•••••••• I••• formerJul 14, 2011 to Dec 31, 2012 · Indian Trail, Nc
- B••••••• W••••• M••••••••• L•• unclassifiedFeb 8, 2011 to Dec 31, 2011 · Nashville, Nc
- I•••••••• F•• W••••• A•••••••• I••• to F•••• A••••••• N•••••••• L••left Dec 31, 2012, registered Jan 25, 2013 (25 days) · Other
- B••••••• W••••• M••••••••• L•• to I•••••••• F•• W••••• A•••••••• I•••left Dec 31, 2011, registered Jul 14, 2011 (-170 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address