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.
A••••• M•••• G••••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Sep 27, 2010 · Morganton, Nc
- E••••• J•••• national BDMar 26, 2007 to Sep 29, 2010 · St Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDDec 12, 2006 to Mar 5, 2007 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDNov 15, 2006 to Nov 20, 2006 · Charlotte, Nc
- E••••• J•••• to F•••• C••••••• I••••••• S•••••••• I•••left Sep 29, 2010, registered Sep 27, 2010 (-2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Mar 5, 2007, registered Mar 26, 2007 (21 days) · Affiliated broker-dealer or bank to another
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