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••••• S•••• M••••
- C•••••• independent RIA currentsince Aug 7, 2024 · Charlotte, Nc
- B•••• F••••••••• L•• formerApr 3, 2014 to Aug 27, 2024 · Charlotte, Nc
- G••••••••• W••••• L•• formerJan 18, 2012 to Sep 17, 2012 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDJan 13, 2003 to Jan 31, 2003 · Charlotte, Nc
- B•••• F••••••••• L•• to C••••••left Aug 27, 2024, registered Aug 7, 2024 (-20 days) · RIA to RIA · moved with a team
- G••••••••• W••••• L•• to B•••• F••••••••• L••left Sep 17, 2012, registered Apr 3, 2014 (563 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to G••••••••• W••••• L••left Jan 31, 2003, registered Jan 18, 2012 (3274 days) · Other
- J••••• S•••• M•••• left B•••• F••••••••• L•• for Corient (registered 2024-08-07)Aug 27, 2024 · 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