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.
N•••••••• E•••• S••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 5, 2024 · Charlotte, Nc
- F•••• C•••••• A••••••• S••••••• BD affiliatedApr 17, 2017 to Oct 10, 2017 · Charlotte, Nc
- H••••• R•••• formerSep 2, 2015 to Feb 2, 2017 · Charlotte, Nc
- B•• H••••• F•••••••• A•••••••• I•• formerJan 29, 2014 to Apr 24, 2015 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJan 19, 2012 to Nov 5, 2013 · Minneapolis, Mn
- F•••• C•••••• A••••••• S••••••• to J••• M••••• S••••••••• L••left Oct 10, 2017, registered Mar 5, 2024 (2338 days) · Other
- H••••• R•••• to F•••• C•••••• A••••••• S•••••••left Feb 2, 2017, registered Apr 17, 2017 (74 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to H••••• R••••left Apr 24, 2015, registered Sep 2, 2015 (131 days) · Other
- W•••• F•••• A••••••• to B•• H••••• F•••••••• A•••••••• I••left Nov 5, 2013, registered Jan 29, 2014 (85 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address