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••••••••• T•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Charlotte, Nc
- S••••• F•••••••• G•••• I•• formerMay 6, 2015 to May 20, 2021 · Cornelius, Nc
- C•••••• G••••••• W••••• M••••••••• L•• formerSep 3, 2009 to May 12, 2015 · Miami, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 14, 2009 · Cornelius, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 20, 2006 to Jun 1, 2009 · Cornelius, Nc
- M••••• S•••••• D• I••• unclassifiedJun 16, 2004 to Jan 4, 2006 · Huntersville, Nc
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- C•••••• G••••••• W••••• M••••••••• L•• to S••••• F•••••••• G•••• I••left May 12, 2015, registered May 6, 2015 (-6 days) · Other
- M••••• S•••••• to C•••••• G••••••• W••••• M••••••••• L••left Sep 14, 2009, registered Sep 3, 2009 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Jan 4, 2006, registered Jun 20, 2006 (167 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address