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.
D••••• W••••• P•••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Oct 18, 2019 · Hendersonville, Nc
- J••••• H•••••••• W••• L••••• L•• formerFeb 20, 2013 to Oct 18, 2019 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 26, 2009 to Feb 22, 2013 · Hendersonville, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 18, 2009 · Asheville, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 15, 2004 to Jun 1, 2009 · Asheville, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 16, 2003 to Dec 15, 2004 · Hendersonville, Nc
- J••••• H•••••••• W••• L••••• L•• to R••••• W• B•••• • C•• I•••••••••left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• H•••••••• W••• L••••• L••left Feb 22, 2013, registered Feb 20, 2013 (-2 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 18, 2009, registered Oct 26, 2009 (-23 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 15, 2004, registered Dec 15, 2004 (0 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address