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.
B•••• M•••••• C•••••
- C•••••• independent RIA currentsince Oct 11, 2022 · Charlotte, Nc
- C• B••••••••• P•••••• W••••• formerApr 10, 2018 to Mar 31, 2023 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 18, 2017 to Mar 12, 2018 · Alexandria, Va
- W•••• F•••• A••••••• wirehouseJul 23, 2013 to May 23, 2017 · Mclean, Va
- B••• I••••••••• S•••••••• I••• formerSep 8, 2011 to Jul 17, 2013 · Charlotte, Nc
- O•• D••••••• C•••••• M••••••••• I••• formerDec 17, 2009 to May 3, 2010
- U••••• B•••••••• S••••••• I•• BD affiliatedJan 14, 2008 to May 22, 2008 · Parkersburg, Wv
- C• B••••••••• P•••••• W••••• to C••••••left Mar 31, 2023, registered Oct 11, 2022 (-171 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C• B••••••••• P•••••• W•••••left Mar 12, 2018, registered Apr 10, 2018 (29 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 23, 2017, registered May 18, 2017 (-5 days) · Wirehouse to wirehouse
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jul 17, 2013, registered Jul 23, 2013 (6 days) · Other
- O•• D••••••• C•••••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left May 3, 2010, registered Sep 8, 2011 (493 days) · Other
- U••••• B•••••••• S••••••• I•• to O•• D••••••• C•••••• M••••••••• I•••left May 22, 2008, registered Dec 17, 2009 (574 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address