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.
C•••••• S••••
- O•••• I••••••••• I••• BD affiliated currentsince Apr 29, 2024 · Fletcher, Nc
- F•••• T•••• S••••••••• I••• BD affiliatedMay 22, 2019 to Apr 30, 2024 · Black Mountain, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedJun 15, 2017 to Mar 19, 2019 · Black Mountain, Nc
- B••• S••••••••• L•• formerAug 16, 2013 to Jun 22, 2017 · Asheville, Nc
- F•••• T•••• S••••••••• I••• BD affiliatedJul 1, 2009 to Aug 16, 2013 · Lincolnton, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 3, 2004 to Jul 8, 2009 · Asheville, Nc
- F•••• T•••• S••••••••• I••• to O•••• I••••••••• I•••left Apr 30, 2024, registered Apr 29, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- T••••• A••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Mar 19, 2019, registered May 22, 2019 (64 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Jun 22, 2017, registered Jun 15, 2017 (-7 days) · Other
- F•••• T•••• S••••••••• I••• to B••• S••••••••• L••left Aug 16, 2013, registered Aug 16, 2013 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• T•••• S••••••••• I•••left Jul 8, 2009, registered Jul 1, 2009 (-7 days) · Other
- C•••••• S•••• left F•••• T•••• S••••••••• I••• for O•••• I••••••••• I••• (registered 2024-04-29)Apr 30, 2024 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address