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.
B•••• S•••••• J••••
- P••••••••• C•••••• A•••••••• L•• independent RIA currentsince Feb 2, 2015 · Charlotte, Nc
- W••••••••• W••••• M••••••••• L•• formerApr 17, 2009 to Feb 5, 2015 · Huntersville, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 2, 2006 to Mar 20, 2009 · Charlotte, Nc
- W••••••••• W••••• M••••••••• L•• to P••••••••• C•••••• A•••••••• L••left Feb 5, 2015, registered Feb 2, 2015 (-3 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to W••••••••• W••••• M••••••••• L••left Mar 20, 2009, registered Apr 17, 2009 (28 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address