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.
P•••••• M•••••• K•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Apr 10, 2024 · Charlotte, Nc
- L••••• T••••• A••••••• S•••••••• L•• independent RIAOct 9, 2023 to Mar 20, 2024 · Charlotte, Nc
- M••••• S•••••• wirehouseSep 8, 2020 to Sep 29, 2023 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseJan 13, 2014 to Sep 17, 2020 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJul 31, 2006 to Jan 2, 2014 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedSep 19, 2005 to Jun 1, 2006 · Raleigh, Nc
- L••••• T••••• A••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••left Mar 20, 2024, registered Apr 10, 2024 (21 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to L••••• T••••• A••••••• S•••••••• L••left Sep 29, 2023, registered Oct 9, 2023 (10 days) · Wirehouse to independent RIA
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 17, 2020, registered Sep 8, 2020 (-9 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jan 2, 2014, registered Jan 13, 2014 (11 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Jun 1, 2006, registered Jul 31, 2006 (60 days) · Other
- P•••••• M•••••• K••••••• left L••••• T••••• A••••••• S•••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2024-04-10)Mar 20, 2024 · Advisor changed firm · fact
- P•••••• M•••••• K••••••• left M••••• S•••••• for L••••• T••••• A••••••• S•••••••• L•• (registered 2023-10-09)Sep 29, 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