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•••• L•••••
- M•••••• BD affiliated currentsince Aug 22, 2023 · Birmingham, Al
- C••••• G••••• F•••••••• A•••••••• L•• independent RIAJun 14, 2007 to Mar 22, 2023 · Reno, Nv
- V•••••• A•••••••• I••• BD affiliatedJan 16, 2007 to Dec 31, 2017 · Hendersonville, Nc
- C••••• G••••• F•••••••• A•••••••• L•• independent RIAJul 2, 2004 to Dec 31, 2006 · Asheville, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 12, 2000 to Dec 4, 2003 · Asheville, Nc
- C••••• G••••• F•••••••• A•••••••• L•• to M••••••left Mar 22, 2023, registered Aug 22, 2023 (153 days) · RIA to affiliated broker-dealer or bank
- V•••••• A•••••••• I••• to C••••• G••••• F•••••••• A•••••••• L••left Dec 31, 2017, registered Jun 14, 2007 (-3853 days) · Other · moved with a team
- C••••• G••••• F•••••••• A•••••••• L•• to V•••••• A•••••••• I•••left Dec 31, 2006, registered Jan 16, 2007 (16 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••• G••••• F•••••••• A•••••••• L••left Dec 4, 2003, registered Jul 2, 2004 (211 days) · Other
- C•••• S•••• L••••• left C••••• G••••• F•••••••• A•••••••• L•• for Mariner (registered 2023-08-22)Mar 22, 2023 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address