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.
T••••• A• H••••••
- P•• W••••• M••••••••• BD affiliated currentsince Jul 3, 2024 · Charlotte, Nc
- F••••• I••••••••• independent RIAJul 30, 2021 to May 2, 2024 · Plano, Tx
- P•• W••••• M••••••••• BD affiliatedAug 8, 2017 to Jul 26, 2021 · Charlotte, Nc
- E•••••• C•••••• M••••••••• L•• formerAug 28, 2013 to Jul 14, 2017 · Arlington, Va
- F••••• I••••••••• to P•• W••••• M•••••••••left May 2, 2024, registered Jul 3, 2024 (62 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to F••••• I•••••••••left Jul 26, 2021, registered Jul 30, 2021 (4 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••• C•••••• M••••••••• L•• to P•• W••••• M•••••••••left Jul 14, 2017, registered Aug 8, 2017 (25 days) · Other
- T••••• A• H•••••• left F••••• I••••••••• for P•• W••••• M••••••••• (registered 2024-07-03)May 2, 2024 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address