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.
B•••• C••••••••• M•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2023 · Hickory, Nc
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Sep 7, 2023 · Hickory, Nc
- I••••••••• A••••••• S••••••• I•• formerDec 15, 2017 to Jul 17, 2020 · Hickory, Nc
- W••••••• F•••••••• S•••••••• I••• formerJun 25, 2010 to Dec 19, 2017 · Hickory, Nc
- O••••••• F•••••••• G••••• I••• independent RIAFeb 17, 2009 to Jul 27, 2010 · Hickory, Nc
- O••••••• F•••••••• G••••• I••• independent RIAMay 23, 2006 to Dec 31, 2008 · Hickory, Nc
- O• I••••••••• M••••••••• C• BD affiliatedJan 28, 2006 to May 3, 2006 · Hickory, Nc
- S••••••••• A•••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 7, 2023, registered Sep 5, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to I••••••••• A••••••• S••••••• I••left Dec 19, 2017, registered Dec 15, 2017 (-4 days) · Other
- O••••••• F•••••••• G••••• I••• to W••••••• F•••••••• S•••••••• I•••left Jul 27, 2010, registered Jun 25, 2010 (-32 days) · Other
- O• I••••••••• M••••••••• C• to O••••••• F•••••••• G••••• I•••left May 3, 2006, registered May 23, 2006 (20 days) · Other
- B•••• C••••••••• M••••••• left S••••••••• A•••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-09-05)Sep 7, 2023 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address