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.
B•••• T••••• C•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Gastonia, Nc
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Charlotte, Nc
- Q•••••• A•••• M••••••••• I••• formerDec 2, 2016 to Mar 1, 2019 · Charlotte, Nc
- C•••••• G••••••• W••••• M••••••••• L•• formerDec 11, 2009 to Nov 30, 2016 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 19, 2009 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Charlotte, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 3, 2004 to Feb 21, 2006 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedApr 8, 2004 to Dec 6, 2004 · Charlotte, Nc
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- C•••••• G••••••• W••••• M••••••••• L•• to Q•••••• A•••• M••••••••• I•••left Nov 30, 2016, registered Dec 2, 2016 (2 days) · Other
- M••••• S•••••• to C•••••• G••••••• W••••• M••••••••• L••left Dec 19, 2009, registered Dec 11, 2009 (-8 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to L••• M•••• W••• W•••••• I•••••••••left Dec 6, 2004, registered Dec 3, 2004 (-3 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address