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.
R•••••• B•••• K••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Charlotte, Nc
- B••• S••••••••• L•• formerDec 12, 2017 to Feb 17, 2021 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 1, 2016 to Dec 13, 2017 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDOct 21, 2011 to Jul 12, 2016 · Durham, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 26, 2011 · Durham, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 27, 2008 to Jun 1, 2009 · Durham, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 8, 2007 to Sep 8, 2008 · New York, Ny
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• L••left Dec 13, 2017, registered Dec 12, 2017 (-1 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 12, 2016, registered Jun 1, 2016 (-41 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Oct 26, 2011, registered Oct 21, 2011 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Sep 8, 2008, registered Aug 27, 2008 (-12 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