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•••• R•••
- F••••••• F•••••••• S••••••••• L•• independent RIA currentsince Nov 5, 2015 · Matthews, Nc
- L•• F•••••••• L•• BD affiliatedOct 1, 2007 to Nov 4, 2015 · Fort Mill, Sc
- A••••••••• F•••••••• S•••••••• L•• national BDDec 14, 2004 to Aug 23, 2007 · Charlotte, Nc
- L•• F•••••••• L•• to F••••••• F•••••••• S••••••••• L••left Nov 4, 2015, registered Nov 5, 2015 (1 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 23, 2007, registered Oct 1, 2007 (39 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address