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.
G•••••• S•••• L•••••
- V••••••• A•••••••• I••• BD affiliated currentsince Dec 21, 2022 · Charlotte, Nc
- U••••• C•••••• F•••••••• A••••••• independent RIADec 9, 2019 to Dec 9, 2022 · Davidson, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedJan 26, 2016 to Oct 10, 2019 · Charlotte, Nc
- C••• B•••••••• S•••••••• I••• formerJun 7, 2013 to Jan 13, 2016 · Charlotte, Nc
- W•••••• • R••• formerMar 28, 2011 to Jun 4, 2013 · Charlotte, Nc
- E•• F•••••••• A••••••• independent RIAFeb 11, 2008 to Mar 25, 2011 · Charlotte, Nc
- U••••• C•••••• F•••••••• A••••••• to V••••••• A•••••••• I•••left Dec 9, 2022, registered Dec 21, 2022 (12 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to U••••• C•••••• F•••••••• A•••••••left Oct 10, 2019, registered Dec 9, 2019 (60 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Jan 13, 2016, registered Jan 26, 2016 (13 days) · Other
- W•••••• • R••• to C••• B•••••••• S•••••••• I•••left Jun 4, 2013, registered Jun 7, 2013 (3 days) · Other
- E•• F•••••••• A••••••• to W•••••• • R•••left Mar 25, 2011, registered Mar 28, 2011 (3 days) · Other
- G•••••• S•••• L••••• left U••••• C•••••• F•••••••• A••••••• for V••••••• A•••••••• I••• (registered 2022-12-21)Dec 9, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address