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.
- W•••• A••••••• independent RIA currentsince Jan 26, 2016 · Charlotte, Nc
- P•••••••• S••••••••• I••• BD affiliatedJan 21, 2015 to Jan 4, 2016 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedMay 29, 2013 to Dec 8, 2014 · Charlotte, Nc
- C••• B•••••••• S•••••••• I••• formerMay 6, 2011 to May 30, 2013 · Charlotte, Nc
- P•••••••• S••••••••• I••• to W•••• A•••••••left Jan 4, 2016, registered Jan 26, 2016 (22 days) · Other
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Dec 8, 2014, registered Jan 21, 2015 (44 days) · Other
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 30, 2013, registered May 29, 2013 (-1 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address