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.
D•••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 9, 2023 · Cornelius, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedMar 2, 2021 to Jul 27, 2023 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Mar 2, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerOct 14, 2015 to Jan 2, 2018 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedFeb 6, 2014 to Oct 27, 2015 · Fort Mill, Sc
- P•• W••••• M••••••••• BD affiliatedFeb 17, 2011 to May 21, 2012 · Pittsburgh, Pa
- A••••••••• A•••••• S•••••••• I••• unclassifiedMar 27, 2009 to Jun 15, 2009 · Kansas City, Mo
- M•• S••••••••• I••• unclassifiedJul 18, 2006 to Sep 20, 2007 · Oakland, Md
- T••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 27, 2023, registered Aug 9, 2023 (13 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Mar 2, 2021, registered Mar 2, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••left Oct 27, 2015, registered Oct 14, 2015 (-13 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left May 21, 2012, registered Feb 6, 2014 (626 days) · Other
- A••••••••• A•••••• S•••••••• I••• to P•• W••••• M•••••••••left Jun 15, 2009, registered Feb 17, 2011 (612 days) · Other
- M•• S••••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Sep 20, 2007, registered Mar 27, 2009 (554 days) · Other
- D•••• M•••••• left T••••• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-08-09)Jul 27, 2023 · a•••••• firm change · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address