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.
Z•••••• H••••••• H•••
- W••••••••• R••••••••• A••••••• institutional currentsince Jun 1, 2023 · Aliso Viejo, Ca
- M•• S••••••••• L•• no RAUMApr 3, 2023 to May 15, 2023 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedFeb 8, 2016 to Apr 3, 2023 · Greensboro, Nc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 2, 2015 to Jan 21, 2016 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseFeb 26, 2014 to Aug 26, 2014 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseJun 29, 2012 to Mar 5, 2014 · Charlotte, Nc
- M•• S••••••••• L•• to W••••••••• R••••••••• A•••••••left May 15, 2023, registered Jun 1, 2023 (17 days) · Other
- L•• F•••••••• L•• to M•• S••••••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · Other · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jan 21, 2016, registered Feb 8, 2016 (18 days) · Other
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Aug 26, 2014, registered Feb 2, 2015 (160 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 5, 2014, registered Feb 26, 2014 (-7 days) · Wirehouse to wirehouse
- Z•••••• H••••••• H••• left M•• S••••••••• L•• for W••••••••• R••••••••• A••••••• (registered 2023-06-01)May 15, 2023 · Advisor changed firm · fact
- Z•••••• H••••••• H••• left L•• F•••••••• L•• for M•• S••••••••• L•• (registered 2023-04-03)Apr 3, 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
- Institutional managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address