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.
M•••••• S••••• A•••
- S••••• A••••••• I••• BD affiliated currentsince Aug 3, 2020 · Cornelius, Nc
- F•••• T•••• S••••••••• I••• BD affiliatedMar 31, 2015 to Aug 7, 2020 · Shelby, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 31, 2014 to Mar 17, 2015 · Concord, Nc
- F•••• T•••• S••••••••• I••• to S••••• A••••••• I•••left Aug 7, 2020, registered Aug 3, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Mar 17, 2015, registered Mar 31, 2015 (14 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address