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••••• C•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Charlotte, Nc
- B••• S••••••••• L•• formerMar 6, 2020 to Feb 17, 2021 · Richmond, Va
- P•• W••••• M••••••••• BD affiliatedJan 10, 2017 to Mar 9, 2020 · Charlotte, Nc
- E••••• J•••• national BDFeb 8, 2007 to May 28, 2009 · Denver, Nc
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to B••• S••••••••• L••left Mar 9, 2020, registered Mar 6, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to P•• W••••• M•••••••••left May 28, 2009, registered Jan 10, 2017 (2784 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address