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.
R••••• H••• A•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Nov 2, 2018 · Charlotte, Nc
- P•••• S••••••••• L•• no RAUMApr 8, 2016 to Oct 23, 2018 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedApr 2, 2014 to Dec 17, 2015 · Charlotte, Nc
- S•••••• I••••••••• G••••• L•• formerFeb 7, 2011 to Nov 28, 2012 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseApr 3, 2008 to Jan 4, 2011 · Charlotte, Nc
- P•••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Oct 23, 2018, registered Nov 2, 2018 (10 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to P•••• S••••••••• L••left Dec 17, 2015, registered Apr 8, 2016 (113 days) · Other
- S•••••• I••••••••• G••••• L•• to P•• W••••• M•••••••••left Nov 28, 2012, registered Apr 2, 2014 (490 days) · Other
- W•••• F•••• A••••••• to S•••••• I••••••••• G••••• L••left Jan 4, 2011, registered Feb 7, 2011 (34 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