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.
K•••• T•••••••
- E••••• J•••• national BD currentsince Oct 27, 2021 · Boiling Spring Lakes, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Oct 25, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerMay 1, 2017 to Jan 2, 2018 · Charlotte, Nc
- C•••••• S••••••••• M••••••••• I••• independent RIAJan 3, 2014 to Feb 28, 2017 · Wilmington, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 31, 2011 to Jan 7, 2014 · Wilmington, Nc
- W•••••• • R••• formerJun 24, 2010 to Nov 2, 2010 · Wyomissing, Pa
- T••••• A••••••• S•••••••• I••• to E••••• J••••left Oct 25, 2021, registered Oct 27, 2021 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- C•••••• S••••••••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Feb 28, 2017, registered May 1, 2017 (62 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••••••• M••••••••• I•••left Jan 7, 2014, registered Jan 3, 2014 (-4 days) · Other
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 2, 2010, registered May 31, 2011 (210 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address