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.
N••••• A••••• G••••••
- A•••••••• F•••• M••••••••• L•• asset manager currentsince Dec 27, 2016 · Charlotte, Nc
- A•••••••• F•••• M••••••••• L•• asset managerFeb 26, 2014 to Dec 31, 2014 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 1, 2013 to Feb 24, 2014 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedMay 14, 2008 to Jan 24, 2013 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 22, 2005 to May 1, 2008 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDJun 25, 2004 to Apr 6, 2005 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• to A•••••••• F•••• M••••••••• L••left Feb 24, 2014, registered Feb 26, 2014 (2 days) · Other
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Jan 24, 2013, registered Feb 1, 2013 (8 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left May 1, 2008, registered May 14, 2008 (13 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 6, 2005, registered Apr 22, 2005 (16 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address