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.
C••••• S••••••• W•••••••••
- F••••• M••••• W••••• A•••••••• L•• independent RIA currentsince Jun 1, 2022 · Springfield, Mo
- D•••• H••••• G•••••• W••••• A••••••• L•• formerJan 3, 2017 to Aug 24, 2022 · High Point, Nc
- D•••• H••••• G•••••• W••••• A••••••• L•• formerAug 18, 2014 to Dec 31, 2016 · High Point, Nc
- I••••• F•••••••• C••••••••• formerJul 29, 2010 to Aug 20, 2014 · Greensboro, Nc
- M••••• K••••• • C••••••• L•• formerDec 8, 2009 to Dec 23, 2009 · Greensboro, Nc
- B••• I••••••••• S•••••••• I••• formerJun 13, 2006 to Apr 10, 2008 · Greensboro, Nc
- D•••• H••••• G•••••• W••••• A••••••• L•• to F••••• M••••• W••••• A•••••••• L••left Aug 24, 2022, registered Jun 1, 2022 (-84 days) · RIA to RIA · moved with a team
- I••••• F•••••••• C••••••••• to D•••• H••••• G•••••• W••••• A••••••• L••left Aug 20, 2014, registered Aug 18, 2014 (-2 days) · Other
- M••••• K••••• • C••••••• L•• to I••••• F•••••••• C•••••••••left Dec 23, 2009, registered Jul 29, 2010 (218 days) · Other
- B••• I••••••••• S•••••••• I••• to M••••• K••••• • C••••••• L••left Apr 10, 2008, registered Dec 8, 2009 (607 days) · Other
- C••••• S••••••• W••••••••• left D•••• H••••• G•••••• W••••• A••••••• L•• for F••••• M••••• W••••• A•••••••• L•• (registered 2022-06-01)Aug 24, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address