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••• E••••• A•••••••
- S••••••• W••••• M••••••••• independent RIA currentsince Dec 23, 2022 · Cincinnati, Oh
- G••••• A••••••• S•••••••• L•• independent RIAAug 17, 2018 to Jan 4, 2023 · Charlotte, Nc
- T•• B••••• C•••••• independent RIANov 14, 2012 to Aug 28, 2018 · Fort Mill, Sc
- T• A••••••••• I••• formerJun 5, 2008 to Nov 26, 2012 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 5, 2008 to Nov 26, 2012 · Charlotte, Nc
- R•• P•••••• W••••• independent RIANov 28, 2006 to Apr 21, 2008 · Lancaster, Pa
- A•••••• A••••••• S••••••• formerApr 4, 2006 to Jan 5, 2007 · Lititz, Pa
- M••••• S•••••• D• I••• unclassifiedSep 14, 2005 to Mar 1, 2006 · Lancaster, Pa
- G••••• A••••••• S•••••••• L•• to S••••••• W••••• M•••••••••left Jan 4, 2023, registered Dec 23, 2022 (-12 days) · RIA to RIA
- T•• B••••• C•••••• to G••••• A••••••• S•••••••• L••left Aug 28, 2018, registered Aug 17, 2018 (-11 days) · RIA to RIA
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 26, 2012, registered Jun 5, 2008 (-1635 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 26, 2012, registered Jun 5, 2008 (-1635 days) · channel change inside one enterprise, not a move
- R•• P•••••• W••••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 21, 2008, registered Jun 5, 2008 (45 days) · Other
- A•••••• A••••••• S••••••• to R•• P•••••• W•••••left Jan 5, 2007, registered Nov 28, 2006 (-38 days) · Other
- M••••• S•••••• D• I••• to A•••••• A••••••• S•••••••left Mar 1, 2006, registered Apr 4, 2006 (34 days) · Other
- J••• E••••• A••••••• left G••••• A••••••• S•••••••• L•• for S••••••• W••••• M••••••••• (registered 2022-12-23)Jan 4, 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address