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••••••••• M•••••• J••••••
- C••••••• P••••••• independent RIA currentsince Oct 19, 2017 · Overland Park, Ks
- U••• F•••••••• P••••••• S••••••• formerJun 21, 2013 to Mar 20, 2017 · Atlanta, Ga
- A••••• A•• P••••••• S••••••• BD affiliatedMar 23, 2005 to May 30, 2006 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 29, 2004 to Jan 21, 2005 · Gastonia, Nc
- U••• F•••••••• P••••••• S••••••• to C••••••• P•••••••left Mar 20, 2017, registered Oct 19, 2017 (213 days) · Other
- A••••• A•• P••••••• S••••••• to U••• F•••••••• P••••••• S•••••••left May 30, 2006, registered Jun 21, 2013 (2579 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Jan 21, 2005, registered Mar 23, 2005 (61 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address