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.
L••• G•••• B•••••
- V••••••• A•••••••• I••• BD affiliated currentsince Mar 6, 2023 · Charlotte, Nc
- F•••• independent RIAJul 1, 2021 to Nov 14, 2022 · Charlotte, Nc
- M••••• W••••• M••••••••• L•• independent RIAJul 2, 2018 to May 7, 2019 · Charlotte, Nc
- M••••• W••••• A•••••••• I••• formerSep 7, 2013 to Jul 2, 2018 · Monroe, Nc
- F•••• to V••••••• A•••••••• I•••left Nov 14, 2022, registered Mar 6, 2023 (112 days) · RIA to affiliated broker-dealer or bank
- M••••• W••••• M••••••••• L•• to F••••left May 7, 2019, registered Jul 1, 2021 (786 days) · RIA to RIA
- M••••• W••••• A•••••••• I••• to M••••• W••••• M••••••••• L••left Jul 2, 2018, registered Jul 2, 2018 (0 days) · RIA to RIA · moved with a team
- L••• G•••• B••••• left Facet for V••••••• A•••••••• I••• (registered 2023-03-06)Nov 14, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address