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.
C••••••••• B•••• G•••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Jan 6, 2020 · Charlotte, Nc
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 18, 2017 to Dec 26, 2019 · Conshohocken, Pa
- W•••• F•••• A••••••• wirehouseOct 29, 2012 to Jul 10, 2017 · Charlotte, Nc
- M••••• S•••••• wirehouseDec 16, 2011 to Nov 7, 2012 · Charlotte, Nc
- M••••• K••••• • C••••••• L•• formerSep 2, 2010 to Nov 25, 2011 · Raleigh, Nc
- S•••••• N••••••• • C••••••• I••••••••• to J••••• M••••••••• S•••• L••left Dec 26, 2019, registered Jan 6, 2020 (11 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 10, 2017, registered Jul 18, 2017 (8 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Nov 7, 2012, registered Oct 29, 2012 (-9 days) · Wirehouse to wirehouse
- M••••• K••••• • C••••••• L•• to M••••• S••••••left Nov 25, 2011, registered Dec 16, 2011 (21 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address