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.
W• C•••• W••••
- T•••••• A••••••• P•••••••• L•• state registered currentsince Sep 29, 2023 · Charlotte, Nc
- P••••••••• C•••••• A•••••••• L•• independent RIAAug 15, 2017 to Jun 30, 2023 · Charlotte, Nc
- P••••••••• C•••••• A•••••••• L•• to T•••••• A••••••• P•••••••• L••left Jun 30, 2023, registered Sep 29, 2023 (91 days) · RIA to a state-registered adviser
- W• C•••• W•••• left P••••••••• C•••••• A•••••••• L•• for T•••••• A••••••• P•••••••• L•• (registered 2023-09-29)Jun 30, 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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address