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.
- H••••• W••••• independent RIA currentsince Feb 5, 2019 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedMay 23, 2017 to Aug 17, 2018 · Charlotte, Nc
- S•••••••• I••••••••• M••••••••• formerSep 15, 2016 to May 8, 2017 · Saint Louis, Mo
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJan 30, 2013 to Oct 6, 2014 · Siler City, Nc
- E••••• J•••• national BDJul 23, 2012 to Aug 1, 2012 · St Louis, Mo
- E••••• J•••• national BDJul 9, 2012 to Jul 10, 2012 · St Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDApr 5, 2011 to May 17, 2012 · Chapel Hill, Nc
- P•• W••••• M••••••••• to H••••• W•••••left Aug 17, 2018, registered Feb 5, 2019 (172 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• I••••••••• M••••••••• to P•• W••••• M•••••••••left May 8, 2017, registered May 23, 2017 (15 days) · Other
- A••••••• F•••••••• A•••••••• L•• to S•••••••• I••••••••• M•••••••••left Oct 6, 2014, registered Sep 15, 2016 (710 days) · Other
- E••••• J•••• to A••••••• F•••••••• A•••••••• L••left Aug 1, 2012, registered Jan 30, 2013 (182 days) · Affiliated broker-dealer or bank to a newly registered adviser
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left May 17, 2012, registered Jul 9, 2012 (53 days) · Affiliated broker-dealer or bank to another
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