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••••••• N•••••• S••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Oct 11, 2023 · York, Sc
- G••••••••• W••••• L•• formerNov 23, 2020 to Oct 11, 2021 · Charlotte, Nc
- T••••••• W••••• unclassifiedSep 23, 2008 to Dec 31, 2020 · Mooresville, Nc
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMay 11, 2007 to Jul 15, 2008 · Howey In The Hills, Fl
- G••••••••• W••••• L•• to T••••••• I••••••••• M••••••••• I•••left Oct 11, 2021, registered Oct 11, 2023 (730 days) · RIA to affiliated broker-dealer or bank
- T••••••• W••••• to G••••••••• W••••• L••left Dec 31, 2020, registered Nov 23, 2020 (-38 days) · Other · moved with a team
- T••••••• I••••••••• M••••••••• I••• to T••••••• W•••••left Jul 15, 2008, registered Sep 23, 2008 (70 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address