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.
J••••• W••••• N•••••
- C••••••• P••••••• independent RIA currentsince Jun 11, 2021 · Overland Park, Ks
- V••••••• A•••••••• I••• BD affiliatedJul 11, 2016 to Sep 27, 2019 · Charlotte, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedNov 12, 2014 to May 11, 2016 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerApr 28, 2010 to Apr 19, 2011 · Charlotte, Nc
- A•••• C••••••• L•• formerJan 27, 2009 to Mar 2, 2010 · Mount Pleasant, Sc
- T•• F•••••••• G••••• L•• unclassifiedJul 5, 2005 to May 26, 2006 · Charlotte, Nc
- A•••• C••••••• L•• formerJul 9, 2004 to Dec 31, 2008 · Mount Pleasant, Sc
- V••••••• A•••••••• I••• to C••••••• P•••••••left Sep 27, 2019, registered Jun 11, 2021 (623 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• C••••••• I••••••• S•••••••• I••• to V••••••• A•••••••• I•••left May 11, 2016, registered Jul 11, 2016 (61 days) · Other
- M•• F•••••••• S•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••left Apr 19, 2011, registered Nov 12, 2014 (1303 days) · Other
- A•••• C••••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 2, 2010, registered Apr 28, 2010 (57 days) · Other
- A•••• C••••••• L•• to T•• F•••••••• G••••• L••left Dec 31, 2008, registered Jul 5, 2005 (-1275 days) · Other
- T•• F•••••••• G••••• L•• to A•••• C••••••• L••left May 26, 2006, registered Jan 27, 2009 (977 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