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.
T••••• E••••• H••••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 23, 2020 · Charlotte, Nc
- C•••••••• W••••• C••••••••• L•• formerMay 13, 2019 to Sep 24, 2020 · Charlotte, Nc
- C•••••••• I••••••••• C••••••••• L•• formerJun 8, 2006 to Dec 31, 2016 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 31, 2003 to Jun 8, 2006 · Charlotte, Nc
- C•••••••• W••••• C••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 24, 2020, registered Sep 23, 2020 (-1 days) · RIA to affiliated broker-dealer or bank
- C•••••••• I••••••••• C••••••••• L•• to C•••••••• W••••• C••••••••• L••left Dec 31, 2016, registered May 13, 2019 (863 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• I••••••••• C••••••••• L••left Jun 8, 2006, registered Jun 8, 2006 (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