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.
E•••••••• A•••• W•••
- A••••• W••••• P••••••• independent RIA currentsince Aug 3, 2019 · Charlotte, Nc
- W••••••• W••••• unclassifiedApr 12, 2018 to May 31, 2019 · Charlotte, Nc
- A• W••• F•••••••• P••••••• L•• unclassifiedMar 20, 2018 to Apr 18, 2018 · Charlotte, Nc
- F•••• F•••••••• G•••• independent RIAFeb 20, 2013 to Jan 31, 2018 · Raleigh, Nc
- C••••• A••••••• L•• formerAug 5, 2008 to Dec 31, 2011 · Raleigh, Nc
- W••••••• W••••• to A••••• W••••• P•••••••left May 31, 2019, registered Aug 3, 2019 (64 days) · Other · moved with a team
- A• W••• F•••••••• P••••••• L•• to W••••••• W•••••left Apr 18, 2018, registered Apr 12, 2018 (-6 days) · Other
- F•••• F•••••••• G•••• to A• W••• F•••••••• P••••••• L••left Jan 31, 2018, registered Mar 20, 2018 (48 days) · Other
- C••••• A••••••• L•• to F•••• F•••••••• G••••left Dec 31, 2011, registered Feb 20, 2013 (417 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