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.
J••••• D•••••• T••••••
- O•••• I••••••••• I••• BD affiliated currentsince Feb 13, 2019 · Alpharetta, Ga
- L•• F•••••••• L•• BD affiliatedSep 17, 2013 to Feb 27, 2019 · Asheville, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 29, 2010 to Sep 19, 2013 · Sylva, Nc
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Feb 27, 2019, registered Feb 13, 2019 (-14 days) · RIA to affiliated broker-dealer or bank
- S••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 19, 2013, registered Sep 17, 2013 (-2 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address