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.
M•••••• D•••• F••
- H••••• H••••• W••••• A•••••••• L•• independent RIA currentsince Apr 26, 2010 · Charlotte, Nc
- I•• W••••• M••••••••• I••• BD affiliatedFeb 17, 2006 to Jun 30, 2010 · Charlotte, Nc
- H••••• H••••• F••••••••• L•• unclassifiedNov 16, 2004 to Jan 20, 2006 · Charlotte, Nc
- H••••• H••••• F••••••••• I••• unclassifiedFeb 3, 2003 to Dec 31, 2004 · Charlotte, Nc
- C••• A••••••• S••••••• unclassifiedMar 19, 2001 to Feb 28, 2003 · Charlotte, Nc
- I•• W••••• M••••••••• I••• to H••••• H••••• W••••• A•••••••• L••left Jun 30, 2010, registered Apr 26, 2010 (-65 days) · Other
- H••••• H••••• F••••••••• L•• to I•• W••••• M••••••••• I•••left Jan 20, 2006, registered Feb 17, 2006 (28 days) · Other
- H••••• H••••• F••••••••• I••• to H••••• H••••• F••••••••• L••left Dec 31, 2004, registered Nov 16, 2004 (-45 days) · Other
- C••• A••••••• S••••••• to H••••• H••••• F••••••••• I•••left Feb 28, 2003, registered Feb 3, 2003 (-25 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address