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.
X••••• M• T••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 21, 2025 · Fort Mill, Sc
- W•••• F•••• A••••••• wirehouseSep 18, 2013 to Jun 8, 2021 · Charlotte, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2011 to Sep 18, 2013 · Norwood, Nc
- U•• F•••••••• S••••••• I••• wirehouseMay 15, 2009 to Dec 31, 2010 · Weehawken, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 20, 2006 to Mar 18, 2009 · Charlotte, Nc
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 8, 2021, registered Jan 21, 2025 (1323 days) · Wirehouse to affiliated broker-dealer or bank
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Sep 18, 2013, registered Sep 18, 2013 (0 days) · Other
- U•• F•••••••• S••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Dec 31, 2010, registered Jan 3, 2011 (3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Mar 18, 2009, registered May 15, 2009 (58 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address