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•••••• F•••••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 2, 2021 · Rock Hill, Sc
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliatedMay 20, 2014 to Dec 10, 2021 · Raleigh, Nc
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 19, 2009 to May 20, 2014 · Tampa, Fl
- C•••••• I••••••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 10, 2021, registered Dec 2, 2021 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
- V••• F•••••••• A•••••••• I••• to C•••••• I••••••••• A••••••• S•••••••• L••left May 20, 2014, registered May 20, 2014 (0 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address