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.
Z•••••• H••••••• M•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Oct 4, 2022 · Greensboro, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedJul 22, 2021 to Sep 28, 2022 · Greensboro, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedMar 2, 2021 to Jun 28, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Mar 2, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerMay 13, 2014 to Jan 2, 2018 · Charlotte, Nc
- F•••• C••••••• I••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Sep 28, 2022, registered Oct 4, 2022 (6 days) · Affiliated broker-dealer or bank to another
- T••••• A••••••• S•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••left Jun 28, 2021, registered Jul 22, 2021 (24 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Mar 2, 2021, registered Mar 2, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- Z•••••• H••••••• M••••• left F•••• C••••••• I••••••• S•••••••• I••• for T••••• A••••••• S•••••••• I••• (registered 2022-10-04)Sep 28, 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