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.
J••• R• M••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Oct 25, 2024 · Charlotte, Nc
- E••••• J•••• national BDDec 15, 2021 to Oct 28, 2024 · Indian Trail, Nc
- P•••• S••••••••• L•• no RAUMJan 29, 2018 to Dec 17, 2021 · Charlotte, Nc
- W•••••• • R••• formerOct 4, 2016 to Jan 29, 2018 · Charlotte, Nc
- E••••• J•••• to C••••• I••••••••• A••••••• L••left Oct 28, 2024, registered Oct 25, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to E••••• J••••left Dec 17, 2021, registered Dec 15, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to P•••• S••••••••• L••left Jan 29, 2018, registered Jan 29, 2018 (0 days) · Other
- J••• R• M•••••• left E••••• J•••• for C••••• I••••••••• A••••••• L•• (registered 2024-10-25)Oct 28, 2024 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address