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•••••• R•••••• S•••••
- L•••• F••• C•••••• M••••••••• independent RIA currentsince Nov 23, 2019 · Greenville, Nc
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Feb 9, 2015 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Feb 4, 2015 · Lagrange, Nc
- M••• S••••••••• C••••••••• unclassifiedFeb 23, 2005 to Jun 1, 2005 · Lagrange, Nc
- E•••••••• A•••••••• L•• to L•••• F••• A••••••• S•••••••left Feb 4, 2015, registered Feb 9, 2015 (5 days) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (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