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.
W•••••• A•••••• A•••• I•
- C••• S••••• P••••••• BD affiliated currentsince May 13, 2015 · Charlotte, Nc
- A••••• W••••• M••••••••• L•• unclassifiedMar 14, 2012 to May 12, 2015 · Charlotte, Nc
- I••••••••• P••••••••• I••• formerJan 14, 2011 to Mar 9, 2012 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 21, 2011 · Charlotte, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedJun 15, 2004 to Apr 2, 2007 · Charlotte, Nc
- A••••• W••••• M••••••••• L•• to C••• S••••• P•••••••left May 12, 2015, registered May 13, 2015 (1 days) · Other
- I••••••••• P••••••••• I••• to A••••• W••••• M••••••••• L••left Mar 9, 2012, registered Mar 14, 2012 (5 days) · Other
- M••••• S•••••• to I••••••••• P••••••••• I•••left Jan 21, 2011, registered Jan 14, 2011 (-7 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address