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.
S•••• M••••••• W••••••••
- A•• S••••••••• L•• state registered currentsince Sep 5, 2025 · Charlotte, Nc
- C••••••• institutional currentsince Jan 29, 2020 · Charlotte, Nc
- H••••• R•••• formerMay 24, 2019 to Feb 19, 2020 · Charlotte, Nc
- F••••••• F•••••••• S••••••••• L•• independent RIAJan 16, 2014 to Dec 31, 2017 · Charlotte, Nc
- C•••••••• I••••••••• C••••••••• L•• formerAug 31, 2011 to Aug 14, 2012 · Charlotte, Nc
- A••••••• S••••••••• G••••• I••• unclassifiedNov 10, 2008 to Dec 3, 2009 · Ridgeland, Ms
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 7, 2007 to Nov 3, 2008 · Charlotte, Nc
- T•• F•••••••• G••••• L•• unclassifiedSep 11, 2006 to Nov 1, 2007 · Charlotte, Nc
- N•••••• G•••• S••••••••• I••• formerJan 28, 2004 to Sep 8, 2006 · Lake Mary, Fl
- H••••• R•••• to C•••••••left Feb 19, 2020, registered Jan 29, 2020 (-21 days) · Other
- F••••••• F•••••••• S••••••••• L•• to H••••• R••••left Dec 31, 2017, registered May 24, 2019 (509 days) · Other
- C•••••••• I••••••••• C••••••••• L•• to F••••••• F•••••••• S••••••••• L••left Aug 14, 2012, registered Jan 16, 2014 (520 days) · Other
- A••••••• S••••••••• G••••• I••• to C•••••••• I••••••••• C••••••••• L••left Dec 3, 2009, registered Aug 31, 2011 (636 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to A••••••• S••••••••• G••••• I•••left Nov 3, 2008, registered Nov 10, 2008 (7 days) · Other
- T•• F•••••••• G••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Nov 1, 2007, registered Nov 7, 2007 (6 days) · Other
- N•••••• G•••• S••••••••• I••• to T•• F•••••••• G••••• L••left Sep 8, 2006, registered Sep 11, 2006 (3 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
- Institutional managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address