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.
D•••••• H• Y•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 19, 2022 · Charlotte, Nc
- T•••• A•••••••• L•• formerApr 25, 2013 to Apr 18, 2022 · Charlotte, Nc
- A•••••• A••••••• S••••••• formerJan 13, 2003 to Apr 25, 2013 · Charlotte, Nc
- V••••••• I••••••••• A•••••••• I••• unclassifiedDec 31, 2001 to Nov 12, 2002 · Atlanta, Ga
- T•••• A•••••••• L•• to L•• F•••••••• L••left Apr 18, 2022, registered Apr 19, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A•••••• A••••••• S••••••• to T•••• A•••••••• L••left Apr 25, 2013, registered Apr 25, 2013 (0 days) · Other
- V••••••• I••••••••• A•••••••• I••• to A•••••• A••••••• S•••••••left Nov 12, 2002, registered Jan 13, 2003 (62 days) · Other
- D•••••• H• Y••••• left T•••• A•••••••• L•• for L•• F•••••••• L•• (registered 2022-04-19)Apr 18, 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