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••••••• institutional currentsince Jun 21, 2023 · Charlotte, Nc
- C•••••• L•• independent RIAApr 8, 2016 to Jun 14, 2023 · Charlotte, Nc
- C•••••••• I••••••••• C••••••••• L•• formerAug 15, 2006 to Mar 22, 2016 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 18, 2003 to Aug 25, 2006 · Charlotte, Nc
- C•••••• L•• to C•••••••left Jun 14, 2023, registered Jun 21, 2023 (7 days) · Other
- C•••••••• I••••••••• C••••••••• L•• to C•••••• L••left Mar 22, 2016, registered Apr 8, 2016 (17 days) · Other
- C•••••••• G••••• M•••••• I••• to C•••••••• I••••••••• C••••••••• L••left Aug 25, 2006, registered Aug 15, 2006 (-10 days) · Other
- S••••• M•••• V••••••• left C•••••• L•• for Captrust (registered 2023-06-21)Jun 14, 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
- Institutional managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address