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.
R•••• B•••• R•••••••
- U••••• B•••••••• S••••••• I•• BD affiliated currentsince Jul 1, 2020 · Lincolnton, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Dec 3, 2019 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerDec 24, 2013 to Jan 2, 2018 · Charlotte, Nc
- B••• S••••••••• L•• to U••••• B•••••••• S••••••• I••left Dec 3, 2019, registered Jul 1, 2020 (211 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address