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.
S••••• C••••• D••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Apr 30, 2020 · Durham, Nc
- B••• A•••••••• L•• formerMar 18, 2005 to Nov 30, 2006 · Charlotte, Nc
- C••••••• M••••••••• A•••••••• I••• unclassifiedJan 1, 2005 to Mar 18, 2005 · Boston, Ma
- B••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Nov 30, 2006, registered Apr 30, 2020 (4900 days) · Other
- C••••••• M••••••••• A•••••••• I••• to B••• A•••••••• L••left Mar 18, 2005, registered Mar 18, 2005 (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
- 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