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.
H•••••• M••••••• L••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 12, 2021 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDNov 3, 2010 to Mar 29, 2021 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMay 6, 2008 to Jul 23, 2010 · Charlotte, Nc
- S•••• • S••••••••• L•• formerNov 22, 2006 to Oct 29, 2007 · Wilmington, Nc
- A• G• E•••••• • S•••• I••• unclassifiedJul 11, 2006 to Oct 13, 2006 · Wilmington, Nc
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 23, 2010, registered Nov 3, 2010 (103 days) · Wirehouse to affiliated broker-dealer or bank
- S•••• • S••••••••• L•• to W•••• F•••• A•••••••left Oct 29, 2007, registered May 6, 2008 (190 days) · Other
- A• G• E•••••• • S•••• I••• to S•••• • S••••••••• L••left Oct 13, 2006, registered Nov 22, 2006 (40 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address