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.
F••••• M•••••• W•••••••
- A•••••••• C•••••• M••••••••• independent RIA currentsince Feb 23, 2024 · Cornelius, Nc
- C••••••••• A•••••••• L•• independent RIAApr 19, 2021 to Feb 20, 2024 · Austin, Tx
- P••• A••••• S••••••••• L•• BD affiliatedDec 3, 2020 to Apr 16, 2021 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 27, 2015 to Apr 28, 2020 · Columbia, Sc
- T• A••••••••• I••• formerApr 27, 2015 to Apr 28, 2020 · Columbia, Sc
- E••••• J•••• national BDJan 7, 2013 to Aug 9, 2013 · Weaverville, Nc
- C••••••••• A•••••••• L•• to A•••••••• C•••••• M•••••••••left Feb 20, 2024, registered Feb 23, 2024 (3 days) · RIA to RIA
- P••• A••••• S••••••••• L•• to C••••••••• A•••••••• L••left Apr 16, 2021, registered Apr 19, 2021 (3 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 28, 2020, registered Apr 27, 2015 (-1828 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to P••• A••••• S••••••••• L••left Apr 28, 2020, registered Dec 3, 2020 (219 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to T• A••••••••• I•••left Aug 9, 2013, registered Apr 27, 2015 (626 days) · Other
- F••••• M•••••• W••••••• left C••••••••• A•••••••• L•• for A•••••••• C•••••• M••••••••• (registered 2024-02-23)Feb 20, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address