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•••••• R••• C•••••
- C••••• F•••••••• P•••••••• I••• independent RIA currentsince Jan 22, 2015 · Black Mountain, Nc
- W•••• F•••• A••••••• wirehouseMay 11, 2004 to Aug 3, 2005 · Asheville, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedFeb 14, 2001 to May 7, 2004 · Waynesville, Nc
- W•••• F•••• A••••••• to C••••• F•••••••• P•••••••• I•••left Aug 3, 2005, registered Jan 22, 2015 (3459 days) · Wirehouse to independent RIA
- F•••• C••••••• I••••••• S•••••••• I••• to W•••• F•••• A•••••••left May 7, 2004, registered May 11, 2004 (4 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