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.
T••••• B•• K•••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Aug 9, 2021 · Charlotte, Nc
- A••••• F•••••••• A•••••••• L•• independent RIANov 8, 2018 to Jun 24, 2021 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 28, 2012 to Sep 25, 2018 · Glendale, Co
- A••••• F•••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Jun 24, 2021, registered Aug 9, 2021 (46 days) · RIA to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to A••••• F•••••••• A•••••••• L••left Sep 25, 2018, registered Nov 8, 2018 (44 days) · Affiliated broker-dealer or bank to independent RIA
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