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.
M•••••• D••••• C••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 1, 2016 · Pineville, Nc
- P•• W••••• M••••••••• BD affiliatedMay 13, 2015 to Sep 1, 2016 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJan 13, 2012 to May 13, 2015 · Charlotte, Nc
- E•••••••• A•••••••• L•• national BDJan 30, 2008 to Feb 4, 2010 · Charlotte, Nc
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Sep 1, 2016, registered Sep 1, 2016 (0 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left May 13, 2015, registered May 13, 2015 (0 days) · Other
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Feb 4, 2010, registered Jan 13, 2012 (708 days) · Affiliated broker-dealer or bank to wirehouse
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address