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•••• E••• Y••••
- C••••••• P••••••• independent RIA currentsince Jun 15, 2015 · Waxhaw, Nc
- M••••• G••••• A••••••• I••• independent RIADec 17, 2014 to Jun 9, 2015 · Alpharetta, Ga
- W•••••••• I••••••••• M••••••••• I••• formerDec 6, 2011 to Dec 5, 2014 · Winston-Salem, Nc
- C•••••• S••••• • C••• I••• national BDJul 18, 2007 to Dec 8, 2011 · Winston-Salem, Nc
- W•••• F•••• A••••••• wirehouseMar 10, 2006 to Jun 19, 2006 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 12, 2003 to Mar 23, 2006 · Charlotte, Nc
- M••••• G••••• A••••••• I••• to C••••••• P•••••••left Jun 9, 2015, registered Jun 15, 2015 (6 days) · Other
- W•••••••• I••••••••• M••••••••• I••• to M••••• G••••• A••••••• I•••left Dec 5, 2014, registered Dec 17, 2014 (12 days) · Other
- C•••••• S••••• • C••• I••• to W•••••••• I••••••••• M••••••••• I•••left Dec 8, 2011, registered Dec 6, 2011 (-2 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Jun 19, 2006, registered Jul 18, 2007 (394 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Mar 23, 2006, registered Mar 10, 2006 (-13 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address