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.
J•••• R•••• C••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Apr 18, 2008 · Weddington, Nc
- B••• A•••••••• L•• formerMar 2, 2005 to Sep 1, 2006 · Charlotte, Nc
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Jun 9, 2004 · Charlotte, Nc
- S••••••• BD affiliatedDec 31, 2001 to Jan 1, 2003 · Charlotte, Nc
- B••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 1, 2006, registered Apr 18, 2008 (595 days) · Other
- B•••• D••••••••• L•• to B••• A•••••••• L••left Jun 9, 2004, registered Mar 2, 2005 (266 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address