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.
T•••• R••• S•••••
- S••••• S•••• W••••• M••••••••• independent RIA currentsince Mar 10, 2014 · Winston Salem, Nc
- E•••••• C•••••• M••••••••• L•• formerSep 10, 2009 to Apr 17, 2013 · Arlington, Va
- A••••••••• F•••••••• S•••••••• L•• national BDAug 23, 2007 to Mar 18, 2008 · Henderson, Nv
- E•••••• C•••••• M••••••••• L•• to S••••• S•••• W••••• M•••••••••left Apr 17, 2013, registered Mar 10, 2014 (327 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E•••••• C•••••• M••••••••• L••left Mar 18, 2008, registered Sep 10, 2009 (541 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address