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.
D•••• B•••• L••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Dec 14, 2023 · Greenville, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Oct 10, 2023 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Greenville, Nc
- B••• I••••••••• S•••••••• I••• formerJul 1, 2008 to Jan 2, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseDec 7, 2007 to Jun 13, 2008 · Raleigh, Nc
- T••••• A••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Oct 10, 2023, registered Dec 14, 2023 (65 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jun 13, 2008, registered Jul 1, 2008 (18 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D•••• B•••• L•••• left T••••• A••••••• S•••••••• I••• for A••••• A•• P••••••• S••••••• (registered 2023-12-14)Oct 10, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address