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.
J••••••• P•••••• B••••••
- A•••••••• C•••••• M••••••••• independent RIA currentsince Feb 16, 2021 · Cornelius, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedJul 18, 2006 to Nov 13, 2020 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseApr 28, 2005 to Jun 16, 2006 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 26, 2004 to Feb 25, 2005 · Bristol, Tn
- A••••• A•• P••••••• S••••••• to A•••••••• C•••••• M•••••••••left Nov 13, 2020, registered Feb 16, 2021 (95 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Jun 16, 2006, registered Jul 18, 2006 (32 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 25, 2005, registered Apr 28, 2005 (62 days) · Wirehouse to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address