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.
N••• F••••••• S•••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Feb 4, 2021 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseNov 2, 2015 to Feb 5, 2021 · Charlotte, Nc
- B••• S••••••••• L•• formerJan 2, 2013 to Nov 23, 2015 · Charlotte, Nc
- S•••• • S••••••••• L•• formerNov 13, 2007 to Jan 2, 2013 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 4, 2003 to Nov 13, 2007 · Asheville, Nc
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Feb 5, 2021, registered Feb 4, 2021 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- B••• S••••••••• L•• to W•••• F•••• A•••••••left Nov 23, 2015, registered Nov 2, 2015 (-21 days) · Other
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to S•••• • S••••••••• L••left Nov 13, 2007, registered Nov 13, 2007 (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