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.
V••••••• M•••• L•••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 11, 2022 · Charlotte, Nc
- J••• M••••• S••••••••• L•• wirehouseOct 21, 2020 to Oct 20, 2021 · Charlotte, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedJul 9, 2018 to Sep 9, 2020 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMar 12, 2014 to Jun 18, 2018 · Charlotte, Nc
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 20, 2021, registered Jan 11, 2022 (83 days) · Wirehouse to wirehouse
- F•••• C••••••• I••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Sep 9, 2020, registered Oct 21, 2020 (42 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Jun 18, 2018, registered Jul 9, 2018 (21 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address