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.
W•••••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 23, 2022 · Fort Mill, Sc
- M•••• W••••• M••••••••• unclassifiedMay 27, 2021 to Aug 31, 2022 · Charlotte, Nc
- D••••••••• F••• A••••••• L• asset managerJun 13, 2012 to Feb 22, 2021 · Austin, Tx
- E••••• J•••• national BDOct 17, 2007 to Jun 9, 2010 · St Louis, Mo
- M•••• W••••• M••••••••• to L•• F•••••••• L••left Aug 31, 2022, registered Sep 23, 2022 (23 days) · Other
- D••••••••• F••• A••••••• L• to M•••• W••••• M•••••••••left Feb 22, 2021, registered May 27, 2021 (94 days) · Other
- E••••• J•••• to D••••••••• F••• A••••••• L•left Jun 9, 2010, registered Jun 13, 2012 (735 days) · Other
- W•••••• M•••••• left M•••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2022-09-23)Aug 31, 2022 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address