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.
S•••• V•••••••••
- C•••••• A••••••• S•••••••• I•• independent RIA currentsince Jan 4, 2021 · Lancaster, Sc
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Dec 31, 2020 · Lancaster, Sc
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 2, 2018 · Charlotte, Nc
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 4, 2009 to May 13, 2016 · Charlotte, Nc
- T••••••••• F•••••••• A•••••••• I••• unclassifiedMar 4, 2008 to Sep 4, 2009 · Matthews, Nc
- E•• F•••••••• A••••••• independent RIAApr 23, 2003 to Feb 8, 2008 · Charlotte, Nc
- O•••• W•••••• I••• to C•••••• A••••••• S•••••••• I••left Dec 31, 2020, registered Jan 4, 2021 (4 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Sep 4, 2009, registered Sep 4, 2009 (0 days) · corporate re-registration, not a move
- E•• F•••••••• A••••••• to T••••••••• F•••••••• A•••••••• I•••left Feb 8, 2008, registered Mar 4, 2008 (25 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