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••••••• H•••••
- V••••••• A•••••••• I••• BD affiliated currentsince Mar 3, 2022 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseApr 12, 2018 to Aug 6, 2021 · Charlotte, Nc
- S•••••••• I••••••••• M••••••••• formerAug 25, 2016 to Mar 8, 2018 · Saint Louis, Mo
- A• G• E•••••• • S•••• I••• unclassifiedNov 24, 2005 to Jan 2, 2008 · Asheville, Nc
- W•••• F•••• A••••••• to V••••••• A•••••••• I•••left Aug 6, 2021, registered Mar 3, 2022 (209 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to W•••• F•••• A•••••••left Mar 8, 2018, registered Apr 12, 2018 (35 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- A• G• E•••••• • S•••• I••• to S•••••••• I••••••••• M•••••••••left Jan 2, 2008, registered Aug 25, 2016 (3158 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address