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.
D••••• S•••• W•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jul 27, 2023 · Charlotte, Nc
- E••••• J•••• national BDFeb 10, 2020 to Jul 25, 2023 · Indian Land, Sc
- E•••••• C•••••• M••••••••• L•• formerNov 30, 2015 to Feb 10, 2020 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 16, 2014 to Nov 23, 2015 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseApr 10, 2013 to Jun 25, 2014 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedJun 29, 2012 to Mar 13, 2013 · Charlotte, Nc
- E••••• J•••• national BDAug 26, 2008 to Jan 27, 2009 · St Louis, Mo
- E••••• J•••• to A••••• A•• P••••••• S•••••••left Jul 25, 2023, registered Jul 27, 2023 (2 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to E••••• J••••left Feb 10, 2020, registered Feb 10, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Nov 23, 2015, registered Nov 30, 2015 (7 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 25, 2014, registered Jul 16, 2014 (21 days) · Wirehouse to wirehouse
- A••••• A•• P••••••• S••••••• to U•• F•••••••• S••••••• I•••left Mar 13, 2013, registered Apr 10, 2013 (28 days) · Other
- E••••• J•••• to A••••• A•• P••••••• S•••••••left Jan 27, 2009, registered Jun 29, 2012 (1249 days) · Other
- D••••• S•••• W••••• left E••••• J•••• for A••••• A•• P••••••• S••••••• (registered 2023-07-27)Jul 25, 2023 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address