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•••• P•••••• O•••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Jun 13, 2008 · Concord, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 3, 2006 to Jun 16, 2008 · Mooresville, Nc
- B••• A•••••••• L•• formerFeb 11, 2005 to Sep 21, 2005 · Charlotte, Nc
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Feb 11, 2005 · Charlotte, Nc
- S••••••• BD affiliatedMay 17, 2002 to Jan 1, 2003 · Charlotte , Nc
- U•••• F•••••••• S••••••• G••••• I••• to F•••• T•••• S••••••••• I•••left Jun 16, 2008, registered Jun 13, 2008 (-3 days) · Other
- B••• A•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Sep 21, 2005, registered Jan 3, 2006 (104 days) · Other
- B•••• D••••••••• L•• to B••• A•••••••• L••left Feb 11, 2005, registered Feb 11, 2005 (0 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (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