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•••• E••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 12, 2018 · Charlotte, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to May 30, 2018 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJul 13, 2015 to Jan 2, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseDec 11, 2014 to Jul 6, 2015 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseJun 19, 2014 to Sep 5, 2014 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJul 11, 2012 to May 16, 2014 · Charlotte, Nc
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 8, 2008 to May 7, 2009 · Tampa, Fl
- S•••• • S••••••••• L•• formerMar 27, 2008 to Jun 26, 2008 · Rock Hill, Sc
- B••• S••••••••• L•• to W•••• F•••• A•••••••left May 30, 2018, registered Dec 12, 2018 (196 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jul 6, 2015, registered Jul 13, 2015 (7 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 5, 2014, registered Dec 11, 2014 (97 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left May 16, 2014, registered Jun 19, 2014 (34 days) · Wirehouse to wirehouse
- V••• F•••••••• A•••••••• I••• to W•••• F•••• A•••••••left May 7, 2009, registered Jul 11, 2012 (1161 days) · Other
- S•••• • S••••••••• L•• to V••• F•••••••• A•••••••• I•••left Jun 26, 2008, registered Jul 8, 2008 (12 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address