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.
C•••••• J••• G•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 3, 2023 · Waynesville, Nc
- F•• S••••••••• C••••••••• formerOct 12, 2018 to Nov 3, 2023 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 26, 2015 to Oct 15, 2018 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedSep 26, 2014 to Dec 3, 2014 · Gastonia, Nc
- U•• F•••••••• S••••••• I••• wirehouseJan 13, 2014 to Sep 30, 2014 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseApr 8, 2010 to Jan 2, 2014 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 24, 2009 to Dec 24, 2009 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseNov 8, 2007 to Feb 13, 2009 · Charlotte, Nc
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•• S••••••••• C•••••••••left Oct 15, 2018, registered Oct 12, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 3, 2014, registered Aug 26, 2015 (266 days) · Other
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Sep 30, 2014, registered Sep 26, 2014 (-4 days) · Other
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jan 2, 2014, registered Jan 13, 2014 (11 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Dec 24, 2009, registered Apr 8, 2010 (105 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 13, 2009, registered Feb 24, 2009 (11 days) · Wirehouse to affiliated broker-dealer or bank
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