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.
S••••• G•••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2023 · Matthews, Nc
- D••••••• F••••••• L•• asset managerFeb 25, 2020 to Apr 5, 2023 · Boston, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to May 8, 2018 · Matthews, Nc
- M•• F•••••••• S•••••••• I••• formerApr 28, 2010 to Mar 25, 2017 · Charlotte, Nc
- E•••••••• I••••••••• M••••••••• C• unclassifiedOct 26, 2009 to Dec 31, 2009 · Boston, Ma
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedApr 4, 2003 to Sep 2, 2005 · Tampa, Fl
- P••••••••• E••••• G••••• L•• unclassifiedSep 6, 2001 to Sep 11, 2002 · St. Petersburg, Fl
- D••••••• F••••••• L•• to L•• F•••••••• L••left Apr 5, 2023, registered May 18, 2023 (43 days) · Other
- M•• I•••••••• S•••••••• L•• to D••••••• F••••••• L••left May 8, 2018, registered Feb 25, 2020 (658 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- E•••••••• I••••••••• M••••••••• C• to M•• F•••••••• S•••••••• I•••left Dec 31, 2009, registered Apr 28, 2010 (118 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to E•••••••• I••••••••• M••••••••• C•left Sep 2, 2005, registered Oct 26, 2009 (1515 days) · Other
- P••••••••• E••••• G••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Sep 11, 2002, registered Apr 4, 2003 (205 days) · Other
- S••••• G•••• C••••• left D••••••• F••••••• L•• for L•• F•••••••• L•• (registered 2023-05-18)Apr 5, 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
- 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