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•••••• B••••••• G•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 10, 2021 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jul 7, 2020 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 12, 2016 to Jul 13, 2018 · Charlotte, Nc
- S••••••• I••••••••• S•••••••• I••• formerAug 16, 2012 to Nov 12, 2015 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 7, 2020, registered Mar 10, 2021 (246 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to S•••••••• A••••••• L••left Nov 12, 2015, registered Jan 12, 2016 (61 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address