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.
K•••••• A• R•••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 8, 2024 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 14, 2024 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 31, 2001 to Jun 1, 2009 · Charlotte, Nc
- M••••• S•••••• to R••••••••• C•••••• M•••••••••left Feb 14, 2024, registered Feb 8, 2024 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- K•••••• A• R••••••• left M••••• S•••••• for R••••••••• C•••••• M••••••••• (registered 2024-02-08)Feb 14, 2024 · 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