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.
M••••• K••• W•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Nov 8, 2021 · Charlotte, Nc
- P•••• S••••••••• L•• no RAUMFeb 18, 2021 to Oct 25, 2021 · Charlotte, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedApr 4, 2016 to Jan 6, 2021 · Boone, Nc
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 10, 2013 to Apr 25, 2016 · Hickory, Nc
- E••••• J•••• national BDFeb 13, 2007 to Apr 3, 2007 · Conover, Nc
- P•••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Oct 25, 2021, registered Nov 8, 2021 (14 days) · Affiliated broker-dealer or bank to another
- F•••• C••••••• I••••••• S•••••••• I••• to P•••• S••••••••• L••left Jan 6, 2021, registered Feb 18, 2021 (43 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••left Apr 25, 2016, registered Apr 4, 2016 (-21 days) · Other
- E••••• J•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 3, 2007, registered Jan 10, 2013 (2109 days) · Other
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address