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.
J•••••• A••• H•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 15, 2017 · Fort Mill, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 28, 2013 to Feb 3, 2017 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseSep 24, 2008 to Sep 3, 2013 · Charlotte, Nc
- C•••• I••••••••• S••••••• C•••• formerOct 24, 2007 to Jul 31, 2008 · Indianapolis, In
- E•••••••• A•••••••• L•• national BDAug 11, 2005 to Sep 6, 2007 · Carmel, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Feb 3, 2017, registered Feb 15, 2017 (12 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 3, 2013, registered Aug 28, 2013 (-6 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to U•• F•••••••• S••••••• I•••left Jul 31, 2008, registered Sep 24, 2008 (55 days) · Other
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 6, 2007, registered Oct 24, 2007 (48 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
- 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